Test Manager (Legal and compliance)

Role Overview :

The Legal and Compliance Test Manager will be responsible for planning, executing, and managing control testing and monitoring activities to assess compliance with regulatory requirements and internal policies. The role involves working closely with Compliance, Risk, and Audit teams to ensure an effective control environment across Client businesses and functions.

Key Responsibilities :

Develop and implement the

annual compliance testing plan

in line with global and regional compliance objectives.

Lead

testing and monitoring reviews

across multiple business units to identify control gaps, policy breaches, and regulatory risks.

Design

test scripts and procedures

to assess compliance controls and adherence to legal obligations.

Prepare

comprehensive reports

summarizing findings, risk assessments, and recommendations for remediation.

Track and validate

corrective actions

arising from audit and compliance reviews.

Partner with Legal, Compliance Advisory, and Business stakeholders to ensure testing coverage aligns with risk priorities.

Maintain strong awareness of

regulatory developments (SEBI, RBI, FCA, MAS, etc.)

and their impact on testing programs.

Contribute to

automation and standardization

of testing methodologies and documentation.

Support

regulatory inspections and internal audits

with required evidence and reports.

Location : Mumbai must.

Notice Period :

Immediate to 30 days only.

Experience : 8-12 Years

Required Skills and Qualifications :

Graduate / Postgraduate in

Law, Finance, or related field ; certifications like

CIA, CISA, CAMS, or Compliance Diploma

are a plus.

8–12 years of relevant experience in

Compliance Testing, Internal Audit, or Risk Management

within an investment bank or financial institution.

Strong knowledge of

regulatory compliance frameworks

(MiFID, SEBI, FATCA, AML, etc.).

Excellent

analytical, documentation, and report-writing skills.

Experience working with

global teams

and managing multiple testing streams simultaneously.

Proficiency in

Excel, Power BI, or other data analysis tools

preferred.

Strong communication and stakeholder management skills.

Note :

Pls do not apply if the location, NP and experience range is not matching.