Regulatory Compliance Assessment Manager
Saraswat BankRepublic Of India, IN17 days ago
Job descriptionDraft detailed testing reports with observations and management responses. Maintain MIS and dashboards for open issues, aging, and resolution timelines. Present findings to senior management and compliance committees. Collaborate with business units to ensure timely closure of compliance gaps. Guide teams on remediation plans and monitor progress. Stay updated on regulatory changes and assess their impact on testing scope. Support in updating testing methodologies and frameworks accordingly. Work closely with various teams. Mentor junior compliance staff and support cross-functional initiatives. Bachelor’s degree in Finance, Business Administration, or related field. 5–8 years of experience in compliance testing, auditing, or risk management within the banking sector. Strong understanding of RBI guidelines, AML / KYC norms, and other banking regulations. Professional certifications like CCEP, CRCM, or ICA (preferred). Regulatory knowledge and interpretation Risk-based testing methodology Analytical and problem-solving skills Strong communication and report writing Stakeholder management Attention to detail and organizational skills Experience in IT / ISG compliance testing is a plus. Ability to work independently and manage multiple testing engagements. Proactive approach to identifying and mitigating compliance risks.
Job Title : Compliance Testing Manager
Department : Compliance
Location : Mumbai
Reporting To : Senior Compliance Manager
Positions : 1
Job Purpose :
To ensure the bank's operations, products, and services comply with applicable regulatory requirements through structured compliance testing. The role involves planning, executing, and reporting on compliance testing activities, identifying gaps, and recommending corrective actions.
Key Responsibilities :
Compliance Testing Execution :
- Develop and implement the annual compliance testing plan.
- Conduct compliance reviews across business units, branches, and new products.
- Perform control testing to assess adherence to regulatory and internal standards.
Reporting & Documentation :
Stakeholder Engagement :
Regulatory Monitoring :
Team Collaboration :
Qualifications & Experience :
Skills Required :
Preferred Attributes :
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Manager Regulatory Compliance • Republic Of India, IN
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