Manager - Compliance Testing - Investment Bank

We are hiring for a Compliance Testing Manager role for one of the leading investment bank in the world

Location: Mumbai

Experience: 5 to 8 years in Global Internal Audit in investment banks, big 4, stock broking

Roles and Responsibilities:

The candidate will have several areas of responsibility including, but not limited to, the following:

- Assist in executing compliance tests (audits) or monitoring checks on topics assigned by Compliance Testing team

- Analysis of regulations and internal policies/rules for each test topic

- Conducting tests related to transactions and other documentation for compliance with the relevant regulations and policies/rules

- Conducting / participating in walkthroughs / interviews with business employees responsible for a particular area

- Lead a component or the entire review/monitoring check in the capacity of a lead tester

- Ensuring detailed documentation of test work-papers

- Drafting reports on tests completed

- Responding to test quality assurance queries from regional Compliance Testing teams

- Identification of areas requiring attention or findings and assessment of relative risk

- Helping to follow-up on review findings until resolution

- Prepare materials for periodic meetings with Business Unit stakeholders and Senior Management

- Perform data analysis and prepare materials in response to requests from internal testing/audit teams and from regulators

- Provide ad hoc support to compliance testing team, as and when needed

If interested, kindly share your updated resume, current CTC, expected CTC, Notice period with reason for change.