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Consultant at Talent Networks
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Manager - Compliance Testing - Investment Bank (5-8 yrs)
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.
This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.
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