COM-Central Compliance Professional

• Compliance Testing & Monitoring:

• Conduct periodic riskbased control testing and reviews across various business areas & regions
• Evaluate policies, procedures & transactions, reports etc. by employing strong investigative techniques such as indepth interviewing, inspection, observation and analysis to assess compliance key compliance risks, regulatory requirements, internal Compliance policies and effectiveness of key controls
• Identify gaps & recommend corrective actions to improve overall levels of compliance

• Reporting & Documentation:

• Prepare detailed reports on testing results, findings, and recommendations
• Maintain comprehensive documentation of compliance testing activities including approach of testing, evidence gathering etc. to further back the findings & exceptions that get reported
• Develop & document recommendations for actions to be taken by business towards mitigation of compliance risks
• Present findings to senior management & relevant compliance teams
• Track open issues & follow up for closure. This includes preparing appropriate management information

Process Improvement:

• Stay updated on relevant laws, regulations & industry standards
• Work with stakeholders towards enhancing compliance practices
• Collaborate with internal teams to improve control frameworks

• 10-12 years of demonstrated experience in a Compliance and / or Control and / or Line of Defence (LoD) function, audit, risk management or related field preferably in the financial services industry
• Should have worked extensively on control testing and monitoring
• Strong knowledge of the Business Operational Risk Management Framework, Risk & Control SelfAssessment or Compliance Risk Assessment
• Proficiency in compliance testing methodologies & tools
• Strong communication & reportwriting abilities
• Excellent analytical and problemsolving skills
• Good working knowledge of financial products and services
• Ability to work with multiple teams as well as to take independent ownership of assignments as a when required
• Minimum education requirement bachelor s degree preferably in finance & business
• Excellent communication and influencing skills, with a good understanding of Compliance and Regulatory requirements
• Good understanding of the Investment Banking business and the Financial Services regulatory environment
• Proven project management would be an added advantage
• Knowledge and understanding of Data Analytics tools and technologies