Head - Compliance Testing - Bank

Hiring for a Leading Private Bank

Strategic/ Managerial Responsibilities :-

- Designing, delivering and maintaining best-in-class Compliance practices; Managing a team of Compliance professionals; Preparation and implementation of Compliance Testing Plan.

Core Responsibilities:

- Preparation of Compliance Testing plan.

- Managing the Compliance Testing Team to ensure that the compliance reviews are completed as per the approved Compliance Testing Plan.

- Finalization of compliance testing scope , ensuring sample selection in line with policy guidelines.

- Review of the Compliance Testing observation, Discussion with stakeholders and finalization of compliance testing report.

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

- Interact with the Senior & Top management of the Bank relating to activities pertaining to Compliance Testing

- Ensuring timely closure of open issue, regular follow up with stakeholder and publishing of MIS to Top Management.

- Preparation of ACB Note on Compliance Testing Report and Compliance Testing Open Points.