Compliance Testing Role - Private Bank

Compliance Testing with leading Private Bank

About the Role:

- The Compliance testing team is responsible for testing and evaluating the effectiveness of internal controls, policies, procedures, and processes designed to meet regulatory requirements and/or internal standards.

- The opening is in the area of Treasury & Capital market. Applicant should be well versed with the regulatory circulars related to Treasury & capital market and should possess working knowledge in the area of Treasury/ Treasury operations.

Key Responsibilities:

- Identify gaps/issues resulting in regulatory breaches, if any and provide appropriate recommendation for remediation.

- Co-ordinate with process owners (business / support functions) for conducting and completing the testing, placing results with clear focus on the regulatory breaches.

- Offer recommendations for appropriateness and adequacy of controls, taking up with Compliance Officers for arranging timely redressal of the regulatory breaches.

- Provide a unit wise risk overview on the basis of testing.