Compliance Testing Lead - Corporate Support Functions - SVP
- Yes Bank
- 10 - 15 years
- Mumbai
- 16 hours ago
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Job Description
Purpose of the role :
Lead a team of compliance testing professionals and ensure the reviews are completed on timely basis in accordance with annual compliance review plan. Ensure that all the key regulations / notifications and process notes are covered in the reviews and the checklist is updated simultaneously along with the review.
KEY RESPONSIBILITIES & KPIS OF THE ROLE
These responsibilities are representative, and the role holder is also responsible for any other job assigned by the superior authorities from time to time. This section in not intended to be an exhaustive listing of all activities done by the role holder. It should capture only the key responsibilities of the role.
Strategy and Planning
Assist in developing the annual audit plan in line with regulatory expectations and internal risk priorities.
Policies, Processes & Procedures
Preparation of Review checklists for Support functions in line with the regulatory guidelines/internal policies.
Job specific bucket/s
Conduct risk assessments for support functions to identify key control gaps.
Execute endtoend reviews including planning, fieldwork, testing, and reporting.
Perform review procedures such as process walkthroughs, sampling, analytical reviews, and control testing.
Assist in developing audit methodologies, checklists, data analytics routines, and automation initiatives.
People Management
Conduct lessonslearned sessions after major audits to improve planning and testing approaches.
OPERATING NETWORK
Key interactions which are essential to execute the role. This will include both internal (excluding sub-ordinates) and external stakeholders.
Internal - Chief Compliance Officer and Senior Management
External - Regulators and External Auditors
ROLE PROFILE REQUIREMENTS
Education :
Essential: Post graduation CA/MBA
Preferred: CA
Experience :
Essential: 10 - 12 years of post-qualification experience
Preferred: Prior experience in Audit / Compliance Testing
Functional COmpetencies :
In depth knowledge of the regulatory environment for the banks in India particularly RBI.
Good knowledge of all the support functions such as HR, Risk, IT governance, Vendor management, Vigilance, data analytics, Finance, etc.
Behavioral Skills
- Good interpersonal skills.
Demonstrated ability to drive results and be very effective
Job Classification
Industry: BankingFunctional Area / Department: Risk Management & ComplianceRole Category: Risk Management & Compliance - OtherRole: Risk Management & Compliance - OtherEmployement Type: Full timeContact Details:
Company: Yes BankLocation(s): Mumbai
Keyskills: Central Function Audit Compliance Testing Operational Risk Management Financial Auditing Rbi Guidelines Internal Audit Vigilance ORM Centralised Audit Liquidity Risk finance audit Thematic Review Compliance Review fraud thematic audit Thematic Testing
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