Posted By
Posted in
Banking & Finance
Job Code
1339535
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.
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Posted By
Posted in
Banking & Finance
Job Code
1339535