15 Compliance Advisory Jobs

You are looking for a Senior Manager/AVP position in Credit Compliance at a bank in Mumbai. With 3-9 years of experience, you will be responsible for various key tasks related to regulatory compliance within the credit department. Your role will involve reviewing credit proposals presented to the Credit Committee, ensuring regulatory consistency, and highlighting any discrepancies. You will also evaluate credit policies, processes, and notes to provide feedback and advice for comprehensive and compliant bank operations. In this position, you will support the bank's business and credit functions by offering guidance on credit and lending matters from a compliance perspective. This includes advising on credit monitoring, CRILC reporting, LDS, regulatory returns, EWS parameters, fraud monitoring, and fraud reporting. Additionally, you will conduct testing and monitoring of regulatory risk areas in credit to align with RBI guidelines. You will actively participate in the implementation of new circulars at the bank level concerning credit and lending matters. During RBI audits, you will assist the team by coordinating with stakeholders to provide requested information and address any regulatory concerns raised in inspection reports. This may involve conducting root cause analysis for any violations and engaging with regulators as necessary to ensure compliance with regulations. Key responsibilities in this role include Credit Compliance, Regulatory Guidelines, RBI Guidelines, Policy Review, Compliance Advisory, Credit Monitoring, Fraud Monitoring, Regulatory Risk Management, RBI Audit Coordination, Compliance Testing, Regulatory Reporting, CRILC, LDS, EWS, Fraud Reporting, Regulatory Compliance, Credit Risk Management, Audit Coordination, Regulatory Inspection, Risk Management, Compliance Monitoring, Policy Compliance, Lending Compliance, and Root Cause Analysis.,

As a Financial Crime Compliance Specialist at Standard Chartered Bank, your role will involve managing and resolving alerts/cases related to Correspondent Banking by following the Assess, Analyse, Act (AAA) process. You will be responsible for analyzing significant financial crime risk events to ensure identification and reporting of all connected parties, particularly cross-border, at appropriate levels internally across relevant jurisdictions. Additionally, you will apply Group and FCC policies and processes such as AML surveillance, client screening, and risk assessment to manage risks effectively. Promoting and embedding a culture of openness, trust, and risk awareness will be a key aspect of your role, ensuring that ethical, legal, regulatory, and policy-compliant conduct is upheld as the norm within the organization. In the event of serious regulatory breaches or breached risk tolerances, you will be required to ensure that senior management is informed promptly and that necessary actions are taken for remediation. Your role will also involve collaborating with FCC Controls representatives in group and country to ensure compliance with Compliance Policies and Standards, provide compliance advisory, conduct surveillance (including Screening and Monitoring), and perform investigations for compliance risk assessment. You will need to have 4 to 6 years of relevant work experience in Financial Crime Compliance, Risk Assessment, or Quality Assurance in Financial Services, Banking, or Regulatory environments. To excel in this role, you should display exemplary conduct by living according to the Groups Values and Code of Conduct. Taking personal responsibility for embedding the highest standards of ethics, regulatory and business conduct will be crucial. You should effectively identify, escalate, mitigate, and resolve risk, conduct, and compliance matters collaboratively. A relevant degree in business, education, statistics, mathematics, economics, finance, computer science, writing, financial services, or accounting is required, along with certifications in AML/KYC. Strong communication skills in English, both verbal and written, are essential for this role. Additionally, you should possess strong analytical skills, the ability to interpret complex requirements, and be a self-starter. At Standard Chartered, we value diversity, inclusion, and continuous learning, offering a range of benefits including core bank funding for retirement savings, medical and life insurance, flexible working options, proactive wellbeing support, and opportunities for career growth and development. If you are looking for a purposeful career in a bank that makes a positive difference, we invite you to join our team and contribute to driving commerce and prosperity through our unique diversity.,

The responsibilities of this position include tracking and progressing quality issues, developing and delivering training to operational groups, providing advice and guidance on quality and compliance, offering consultation to the operational team on quality issues workflow, establishing cross-site QA and operational relationships, providing recommendations for improving compliance and efficiency, collaborating with operational management to support quality topics and projects with QA teams on other sites, managing local Quality initiatives to enhance compliance and efficiency of the local QA organization, ensuring Regulatory Compliance and Quality Assurance responsibilities are followed as per applicable controlled documents, and performing any other duties as needed or assigned. The minimum required qualifications for this role include a Bachelor's Degree in Life Sciences (or equivalent Life Science experience) and at least 6 years of experience in a regulatory environment in GXP roles. The candidate should be an experienced GXP auditor with the ability to influence QA strategy, communicate effectively with groups, possess knowledge of multiple operational areas, and demonstrate understanding of industry quality systems/standards with the ability to apply regulatory knowledge to various scenarios. Preferred qualifications may include relevant and equivalent experience in place of educational requirements. The physical demands and work environment for this role may involve travel and office-based work (hybrid) as requested by the line manager. Please refer to Fortrea's EEO & Accommodations request to learn more.,

Decision Analytics Consultant - MLR Review (Medical, Legal, and Regulatory) The Consultant for MLR Review in the DCE Marketing Services team is a critical member responsible for overseeing the review and approval of promotional and non-promotional materials. This role demands expertise in the end-to-end Medical, Legal, and Regulatory (MLR) review and submission processes, ensuring compliance with external regulations, industry standards (EFPIA/IFPMA), and company policies. The Consultant collaborates with cross-functional teams to provide regulatory guidance and streamline operations across the MLR landscape. What Youll Do Compliance Advisory: Serve as the lead compliance advisor for designated therapy areas, ensuring all promotional and non-promotional content complies with global standards, including disease awareness and scientific communications. MLR Review Oversight: Manage the full MLR (Medical, Legal, Regulatory) review cycle, guaranteeing timely, accurate submissions and approvals in line with regulatory requirements. Expert Guidance: Provide subject matter expertise across MLR processes, including documentation, workflow systems, and cross-functional collaboration. Strategic Input: Offer compliance-focused strategic input during concept reviews to align content development with both business objectives and regulatory standards. Training & Enablement: Lead training initiatives on MLR systems and compliance for internal stakeholders across functions such as sales, marketing, and medical affairs. Global Collaboration: Work closely with country affiliates to support material approvals, resolve compliance issues, and share best practices across regions. Labeling Compliance: Keep stakeholders updated on EU labeling changes and assess their impact on promotional and non-promotional material content. What Youll Bring 7-10 years of experience in regulatory, medical affairs, or healthcare compliance, with a strong focus on MLR review processes. Expertise in global standards for advertising and promotion, including EFPIA/IFPMA codes and ABPI Code of Practice. Familiarity with regulatory bodies such as the Medicines and Healthcare products Regulatory Agency (MHRA) and their compliance expectations. Thorough understanding of the MLR review and submission process, including workflows, approvals, and stakeholder management. Ability to effectively communicate regulatory requirements and provide strategic guidance to cross-functional teams. Strong organizational skills with the ability to manage multiple priorities and meet deadlines in a fast-paced environment. This Consultant role offers a dynamic opportunity to ensure compliant and efficient MLR operations while supporting strategic business objectives across the pharmaceutical marketing landscape.

Role & responsibilities About the Role The official is responsible for overseeing compliance risk management for Retail Lending and Payments. Key Responsibilities - Regulatory adherence / monitoring implementation: Assessment of applicable regulatory guidelines and identifying the actions emanating from these guidelines. Ensuring that changes in applicable regulatory guidelines are promptly disseminated, along with actionable to the concerned business units / departments for implementation. Driving timely implementation of regulatory changes across various business Advisory / Consultative Role: Driving an effective compliance management program through formulation of policies, review of relevant MIS and timely escalation of issues. Advising business units on processes / controls from compliance standpoint to ensure adherence to the regulatory guidelines. Engaging with regulatory authorities to facilitate discussions and/or seek specific guidance on critical matters. Reviewing new products / change in product features, to be in alignment with the regulatory guidelines. Review of policies / internal guidelines from compliance perspective, before being disseminated to the units for implementation. Assisting with regulatory enquiries / examinations Monitoring / Assessment: Consistently monitoring the effectiveness of processes / controls through Key Compliance Indicators (KCIs), compliance testing. Identifying non-compliance / breaches through various sources like RBI RAR, Internal Audit, Operational Risk Reports, etc., advising business in carrying out root cause analysis and on remedial action plan. Conducting annual compliance risk assessment and identify critical units / focus areas for mitigation of compliance risk. Regular meetings with the business unit heads to discuss compliance matters / open issues. Assisting in development and administration of compliance training to business units. Reporting to Board / ACB / Governance forums: Reporting and Updating the Board / Audit Committee of the Board on important regulations and non- compliances / breaches observed in various areas. Participating in governance forums to advise business from compliance standpoint Preferred candidate profile Chartered Accountant, Company Secretary, MBA / Postgraduate with banking background with job experience of 6-12 years.

As the Legal Counsel- Ethics at ENGIE India, you will play a crucial role in ensuring compliance with the highest standards of ethics and integrity within ENGIE's India operations. Reporting to the India General Counsel & Ethics Officer, you will be responsible for providing ethical and compliance advisory support across various business functions such as Procurement, Business Development, HR, Operations, and Finance. Your key responsibilities will include acquiring a thorough understanding of ENGIE's ethical documents and policies, offering day-to-day advice on ethical and compliance matters, conducting ethics and compliance training sessions, and promoting a culture of integrity through various engagement activities. Additionally, you will lead the Annual Risk Mapping Exercise on Ethics, Human Rights, Anti-Corruption, and Data Privacy for India operations, monitor emerging risks, and manage investigations into allegations of misconduct. Furthermore, you will review due diligence checks on business partners, suppliers, and consultants, coordinate with Internal Audit teams on ethics-related audit findings, advise on ethical aspects of sponsorships, donations, and charitable contributions, and support Data Privacy compliance efforts. Your role will also involve ensuring compliance with Group policies on Sanctions and Embargoes, implementing new Group policies related to ethics and compliance, and preparing periodic reports on key ethics KPIs and risk management activities. To excel in this role, you should hold a legal qualification and/or master's degree from a reputable university with at least 8 years of legal or compliance practice, preferably in corporate practice. You must have excellent command of English, strong professionalism, ethical standards, writing & drafting skills, and the ability to provide practical ethical advice in a demanding environment. Strong organizational and interpersonal skills, as well as the ability to work effectively in a multicultural team, are essential for this position. This role will be based in the Pune Office, India, with flexibility for travel throughout India. ENGIE India is an equal opportunity employer committed to fostering a diverse and inclusive workplace, offering reasonable accommodations upon request for individuals with disabilities.,

About Retail Portfolio Management Group The RPMG department focuses on the collections for lending business of the bank including Retail, Rural and Agri and SME Businesses among others. They also provide recovery resolutions for working capital loans and Business loans for Small Businesses and is also responsible for the receivables/collections business of the bank. About the Role The Compliance and Risk Officer (CARO) Team is responsible for ensuring the risk and compliance culture within the Retail Portfolio Management Group. Role of CARO function involves taking steps and corrective actions, wherever required, so that the processes within the department are compliant with the regulatory guidelines. Also, CARO team ensures mitigation of potential risks associated with the functions of the department through effective controls. Any gaps in processes or controls are identified and addressed by CARO either by strengthening existing controls or by designing new ones. In addition to this, CARO is also responsible for formulating management action plan (MAP) for internal audit observations, Risk Assessment Review reports resulting from RBI audit, ensuring housekeeping parameters such as review/ renewals, internal rating, EWS and RFA triggers, pending security creation, etc. are within the minimum thresholds, providing regular updates to Senior Management on status of implementation of Risk Mitigation Plan advised by RBI, sharing any new or changes in regulatory guidelines with all members of the department and ensuring facilitation of Compliance testing and RAR sustenance testing by Compliance department. For all the above function CARO team is required to coordinate across cross-functional departments such as Operational Risk, Compliance, Credit Risk, CBO, IAD and F & A. Key Responsibilities Respond to RBI queries during annual RBS audit. Co-ordinate for all the activities related to Risk Based Supervision / other regulatory inspections including the submission of data / documents and represent the department for all the queries raised during the RBI inspections. Formulate responses to RAR observations from RBI in coordination with various Business Segments and Credit Underwriting. Keep abreast with the regulatory changes and ensure dissemination and Implementation of regulations / amendments / actionable/ compliance communication in line with the milestones committed and within the timelines prescribed by regulators / internal timelines. Supervise activities of CARO team members which includes various financial reporting. monitoring of Key Risk Indicators and Key Compliance Indicators, assessment of all Risks and associated control, timely and vetted response of regulatory/ statutory correspondence to Compliance Department for onward submission, facilitation of Operational Risk and Financial Risk walkthrough, Remediation of operational risk issues and control gaps, responses to audit observations. Design new processes/ controls to address gaps highlighted by Operational Risk after risk assessment exercise and IAD after audit review. Review of Policies pertaining to Retail Lending and Collections in alignment with the regulatory guidelines Monitoring the Compliance Risk / Operational risk dashboards / risk movements of assessment units and flagging of the concerns to Head of the Department. Monitor parameters such as review/ renewals, internal rating, EWS and RFA triggers, pending security creation, etc. and ensure they are done within due dates so that the overdue cases are within the minimum thresholds, Provide regular updates to Segment Heads and Senior Management on status of implementation of Risk Mitigation Plan advised by RBI through weekly dashboards and bi-monthly RMP meeting with all Department Heads and MANCOM members. Preferred candidate profile Optimal qualification for success on the job is: Education (CA / MBA from Tier 1 Institute) Experience (~12-15 yrs in Banks Retail Credit, Collections, Compliance or Internal Audit for Retail Lending, Risk ) Role Proficiencies: In-depth knowledge of key drivers and indicators in the relevant sectors A solid understanding of financial statements, ratios Understanding of compliance, regulatory norms and operating procedures Good relationship management and strong communication and presentation skill

As a Team Lead of Credit Compliance for WBG and Working Capital Business segment of the Bank, you will be responsible for managing and leading a team of professionals who support Business Groups in maintaining an effective control framework and ensuring compliance with all relevant RBI regulations, internal codes, and policies. Your key responsibilities will include: - Reviewing all credit proposals that go into the Credit Committee (Level E2) and identifying any regulatory inconsistencies. - Reviewing credit-related products, policies, and processes, providing feedback and advice to ensure comprehensive and compliant bank processes. - Advising the business/credit function of the bank on all credit and lending-related matters from a Compliance Perspective. - Advising the Credit monitoring team on various matters including CRILC reporting, LDS, Regulatory Returns, and EWS parameters. - Advising the Fraud Monitoring Group on matters including RFA and Fraud Reporting. - Collaborating with other assurance functions like risk and internal audit on regulatory matters. - Conducting select testing and monitoring of regulatory risk areas of credit to ensure compliance with RBI guidelines. - Participating in the implementation of new circulars at the Bank level on all credit and lending-related matters. - Assisting the team during RBI Audits by coordinating and collaborating with stakeholders to provide requested information and details. - Resolving points raised by RBI in inspection reports, including conducting root cause analysis for regulatory violations. - Engaging with regulators as necessary to obtain clarity on regulations. The ideal candidate will have: - CA/MBA qualification with a minimum of 10 years of relevant experience. - Up-to-date knowledge of recent developments in RBI regulations. - Strong verbal and written communication skills with attention to detail. - Ability to perform under pressure within specified timelines. - Diligence, hard work, and a team player mentality, with the capability to drive outcomes when collaborating with stakeholders. - Proficiency in working with MS Office tools.,

As a Regulatory Governance Manager at Standard Chartered Bank in Mumbai, IN, your role will involve supporting the Head of CFCC Governance in developing regulatory relationships with regulators in the country. You will be responsible for ensuring that the bank's operations align with regulatory expectations and group requirements. Furthermore, you will play a key role in setting and implementing the vision, strategy, and leadership for CFCC in support of the bank's strategic growth aspirations. Your responsibilities will include attending leadership meetings, providing oversight of the Country CFCC function, and escalating potential risks and issues to senior management. You will collaborate with stakeholders to analyze the impact of regulatory compliance matters on the bank and its operations. Additionally, you will be accountable for identifying and escalating risks to ensure timely remediation actions are taken. In terms of regulatory and business conduct, you will be expected to display exemplary behavior in line with the bank's values and code of conduct. You will work collaboratively with the CFCC Governance team to address risk, conduct, and compliance matters effectively. Furthermore, you will provide advice on risk management frameworks and oversee the review and analysis of the client base to manage high-risk clients. Your role will also involve developing and recommending policies and processes to address CFCC, managing relationships with regulators, and ensuring compliance with relevant regulatory requirements. You will proactively monitor regulatory developments and provide guidance on the application and interpretation of banking laws and regulations. Additionally, you will support control checks, audits, and exams related to CFCC functions. To excel in this role, you should have a strong understanding of compliance policies and standards, compliance advisory, surveillance, investigations, and regulatory liaison. A minimum of 20 years of banking/compliance experience and a graduate/post-graduate qualification are required for this position. At Standard Chartered, we value diversity, inclusion, integrity, and continuous improvement. We offer a range of benefits, including retirement savings, medical and life insurance, flexible working options, wellbeing support, continuous learning opportunities, and a supportive and inclusive work culture. If you are looking for a purpose-driven career with a bank that values your unique talents and contributions, we encourage you to join us in driving commerce and prosperity together. For more information about career opportunities at Standard Chartered and to learn more about our values and brand promise, visit www.sc.com/careers.,

Role & responsibilities Responsible for discharge of compliance function with respect to issues pertaining to SBB/CBG/Retail Operations/CBO/ Credit Risk. Understanding all Regulatory and Banks internal guidelines pertaining to Corporate Credit (including MSME/ SBB) and ensuring Bank's compliance as per said guidelines Analysing impact of Regulatory Circulars /Directions/Notifications issued by RBI/ any other regulator and inform the Senior Management about the Compliance Risk emanating if the guidelines are not implemented within the Regulatory timelines as prescribed by the Regulator. Partnering with Business Departments on various aspects of Regulations applicable to their business and providing them solutions on matters referred by them in new and existing products and processes. Tracking the implementation in coordination with Business teams (wherever required) Assisting in RBI Inspection process & closure of RAR Report Fair/'hands on' idea of CBS/ some of the softwares used in conduct and administration of corporate credit business in the Bank and co- ordination with IT to understand and facilitate system changes/ technological initiatives with respect to credit issues and solution.

Role & responsibilities Handling Compliance with above mentioned regulations pertaining to Mutual Fund & Insurance Distribution Business of the Bank. Circulating action points arising out of regulatory circulars/notifications/communications and pro-active follow up with the stakeholders ensuring timely implementation of the same. Reviewing existing and new processes and handling correspondences with the regulators on Compliance related matters. Handling Onsite Regulatory Inspections of SEBI, IRDA Providing clarifications on queries raised by stakeholders within the Bank and from Group entities on Compliance related matters. Drafting and vetting of various submissions to be made to the ACB/Board. Submission of various regulatory reports from time to time. People Management or Self-Management Responsibilities Need to interaction with various regulatory authorities viz. SEBI, IRDA. Need to interact with the middle management and senior management of the Bank. Preferred candidate profile

Role & responsibilities Providing regulatory guidance on various business structures and transactions pertaining to the treasury and PD operations. Reviewing various product and process notes pertaining to the treasury and PD operations of the Bank from a regulatory point of view. Regularly interacting with the regulators to seek clarifications on guidelines or representing various business proposals for their approval. Ensuring that the action points from the latest regulations are shared with the concerned stakeholders and the same are implemented within regulatory prescribed deadlines or within suitable time in absence of any regulatory prescribed deadlines. Ensuring that accurate MIS are prepared and circulated to the Top Management on a timely basis. Ensuring that various compliance related notes are prepared and submitted to the Board / Board Level Committees on a timely basis either through placing it in the meeting or through circulation. Preferred candidate profile

- Provide backend support for sales operations and actively convert leads into clients to generate revenue for the company - Engage with prospective clients through digital platforms - Meet individual and team targets - Maintain & update CRM systems Required Candidate profile -Graduate in Commerce, Business Administration,Law, or MBA preferred -1-3 years of experience in B2B client servicin -Strong verbal and written communication skills -Ability to multi-task & close deal Perks and benefits Incentives

Job Purpose: This role is responsible for the development and design of methodologies and standards for review activities across the products in alignment with Compliance Risk Framework. Testing, validation, and documentation of review activities for new and existing products and controls according to standards and other applicable policies. Overseeing the effective implementation of testing observations, tracking and closure of all compliance requirements by coordinating with respective functions. Owning projects and tracking, preparing Compliance dashboards for reviews and implement action points, building and maintaining healthy business relations with external and internal customers. Key Responsibilities Functional Responsibilities Outcome of Risk assessment Compliance control point shall be defined, and testing will be carried out. Planning and execution of Compliance testing. Establish and maintain comprehensive compliance testing programs to identify, assess, and highlight compliance risks. Monitor and test compliance by performing sufficient and representative Compliance testing and result of such compliance testing shall be reported to the Senior Management. Track Compliance testing observation open points, coordinate with respective team for implementation and track until closure of testing. Responsible for executing the proposed Compliance projects. Support the reporting manager on regulatory reporting. Support the reporting manager in handling / preparedness of RBI inspection like Co-ordinate with respective team, data collection, review the documents and Finalization of RBI datas, day to day RBI Correspondences, returns filing and circulation of Compliance MIS. Job Requirements Qualifications: CA / CMA /Any graduate Experience 2 - 5 Years relevant experience in Compliance / Internal audit / Internal Control from Banks / NBFC s / Consulting Functional Competencies Drive and initiative, strong commitment, ability to take ownership, Analytical acumen, eye for details, Smart thinkingHigh level of integrity, professionalism, and attention to detailExp in handling various projects Behavioral Competencies Strong Analytical, Interpersonal and Convincing skillsStrong communication and interpersonal skillsProblem solving and decision-making skillsPeople management and networking skills

The jobholder will have the responsibility for ensuring good corporate governance and compliance with regulatory environment. He/ She will support the Compliance function in the organization by providing compliance assurance, including below: Responsible for dissemination of the regulatory notifications, carry out impact analyses on new laws and ongoing monitoring of implementation Drive Implementation of various notifications from Authorities by coordinating with various teams and ensure timely implementation Maintaining repository of all regulatory changes to ensure its timely availability Providing compliance advise on issues pertaining to implementations of laws Providing well researched inputs to shape new laws and regulations within prescribed timelines Partnering with business to implement new laws, regulations, initiatives and distribution tie-ups smoothly Ensure timely submission of periodic regulatory reports and adhoc requirements raised by the regulator/council. Providing extensive legal search and evaluating industry benchmark to opine on various business initiatives and legal provisions. Vetting and approving the insurance advertisements Support business team by working on multiple themes, ensuring the advertisement process, internal guidelines. Compliance requirements are being adhered. Ensuring proper drafting, reviewing and vetting of product related documents viz policy terms & conditions and key feature document Supporting business by proactively participating in different meetings and giving inputs from legal and compliance point of view Review of Advertisements and related compliances New Law Dissemination and Driving Implementation Submission of Adhoc Requirements Compliance Advisory Analytical Thinking and Judgment: Ability to support necessary inputs for decisions by using the information systematically ability to interpret complex concepts and cause and effect relationships Company & Industry Know How: knowledge and understanding of the organization & industry Regulatory Requirements: knowledge and understanding of regulatory requirements and how to meet these on a day to day basis. Drafting & Documentation Skills: Has the ability to draft legal documents; Good Documentation skills for record maintenance Subject Matter Expertise: Has complete domain knowledge Connecting with Others: Ability to effectively bring together diverse teams to jointly create results Experience in insurance industry and handling of advertisement approvals/regulatory implementation Company Secretary/LLB or CA preferred