Kotak Investment Banking Reviews by Employees

Team Member - Compliance Testing (RBS Tranche III Testing ) Job Description: - Execute and ensure timely delivery of Compliance Reviews, including Branch Reviews as per the review plan approved by ACB aligned with RBI and other regulatory guidelines. - Conduct RBS Tranche III Testing as per RBI's Risk-Based Supervision guidelines. - Create new system rules for automating testing of regulatory obligations on a continuous basis and analyse the exceptions. - Integrate data analytics and automation tools for enhanced testing efficiency. - Carry out detailed reviews of processes, products, and systems to identify gaps and recommend corrective actions. - Perform sample checks, walkthroughs of processes, products and systems and control validations. - Prepare Compliance Review Reports highlighting observations, root causes, and remediation plans. - Present findings to Senior management and Audit Committee. - Maintain centralized repository of testing results for regulatory and internal audits. Regulatory Alignment: - Stay updated on regulatory changes and incorporate them into testing programs. - Liaise with regulators during inspections and audits, ensuring timely and accurate responses. Stakeholder Management: - Collaborate with business, operations, risk, internal audit and technology teams - Provide advisory support on compliance matters and emerging risks. Additional Strategic Responsibilities: - Drive continuous improvement through automation, AI-driven analytics. - Contribute to compliance risk assessment and annual compliance plan. - Support training and awareness programs for business units on compliance observations.

Mumbai

Kotak Mahindra Bank - Team Member - Compliance Testing 

Job Description for Kotak Mahindra Bank - Team Member - Compliance Testing  in KOTAK MAHINDRA CAPITAL COMPANY LTD in  Mumbai for (6-9) years of experience. Apply Now!