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Must have experience in- Wholesale Banking + Compliance Testing IC role Shifts-EMEA & US regions - Compliance testing - Testing the controls in process - 1st Line of defence does means control testing - 2nd line of defence does then called compliance - Control testing /compliance testing /audit - all testing - wholesale banking - mandate - global market - Responsible for evaluation & monitoring internal controls, policies & procedures to ensure the organization adheres to applicable regulatory and compliance requirements. - This role involves conducting Compliance assessments, identifying risks and recommending corrective actions to mitigate potential violations. Key responsibilities include: Compliance Testing & Monitoring: - Conduct periodic risk-based control testing and reviews across various business areas & regions - Evaluate policies, procedures & transactions, reports etc. by employing strong investigative techniques such as in-depth interviewing, inspection, observation and analysis to assess compliance key compliance risks, regulatory requirements, internal Compliance policies and effectiveness of key controls - Identify gaps & recommend corrective actions to improve overall levels of compliance Reporting & Documentation: - Prepare detailed reports on testing results, findings, and recommendations - Maintain comprehensive documentation of compliance testing activities including approach of testing, evidence gathering etc. to further back the findings & exceptions that get reported - Develop & document recommendations for actions to be taken by business towards mitigation of compliance risks - Present findings to senior management & relevant compliance teams - Track open issues & follow up for closure. This includes preparing appropriate management information Process Improvement: - Stay updated on relevant laws, regulations & industry standards - Work with stakeholders towards enhancing compliance practices - Collaborate with internal teams to improve control frameworks

Mumbai

Manager/Assistant Vice President - Wholesale Banking Compliance Testing 

Job Description for Manager/Assistant Vice President - Wholesale Banking Compliance Testing  in Black Turtle India Pvt Ltd in  Mumbai for (8-14) years of experience. Apply Now!

Manager/Assistant Vice President - Wholesale Banking Compliance Testing  | iimjobs.com