AVP - Compliance Testing - BFS

- Preparation of Compliance Review plan to be put up to the Board.

- Preparation and updating of Compliance review checklists in line with the regulatory guidelines/internal policies.

- Managing the Compliance Review team to ensure that the compliance reviews are completed as per the Compliance review plan.

- Undertaking field work and ensuring that the review is completed within the prescribed timelines.

- Preparation of Draft Compliance Review report and discuss the same with the relevant stakeholders.

- Obtain the responses from the stakeholders and preparation of Final Compliance Review Report.

- Ensure proper documentation and working papers are maintained for all the compliance reviews conducted.

- Preparation of Open Issue tracker for Compliance Review Reports issued.

- Follow up with the management towards closure of compliance review open issues.