37 Compliance Advisory Jobs

JOB OVERVIEW: Regulatory Advisory: Incumbent will be responsible for providing regulatory advisory/clarifications to internal stakeholders and ensuring adherence to all regulatory requirements of RBI and internal policies. EXPERIENCE: Proven and rich experience of 5+ years in compliance with Banks / NBFCs. Practical knowledge of relevant regulatory requirements and guidelines related to retail lending. Strong analytical skills with the ability to interpret regulations. Team Leader. Excellent communication and interpersonal skills. KEY RESPONSIBILITIES: Serve as the primary point of contact for retail business compliance including housing loans, personal loans, digital lending & LAP. To revie...

Key Responsibilities Domain Responsibilities The role requires strategic thinking and technical expert with a strong background in financial crime detection and prevention, specifically using advanced analytical methodologies. This role require hands-on expertise to design, develop and deploy analytics/models to detect suspicious activities and financial crime. The ideal candidate will possess technical expertise, a strategic mindset for enhancing Transaction Monitoring effectiveness, and good familiarity with the compliance regulations in financial sector. Design, Devop and deploy models for anomaly detection, behaviour profiling, network analysis, predictive scoring for TM Solutions and ac...

• Build and maintain client relationships • Manage end-to-end sales cycle – prospecting, meetings, proposals, negotiation, and closure • Achieve monthly sales targets • Coordinate with internal teams for smooth service delivery and update CRM Required Candidate profile - Graduate in Commerce,Law, or MBA preferred - Strong communication skills. - Target-driven, self-motivated, and team-oriented. - Able to negotiate and work under pressure. - knowledge of compliance Perks and benefits Incentives

Job Title Senior Compliance About Us Capco, a Wipro company, is a global technology and management consulting firm. Awarded with Consultancy of the year in the British Bank Award and has been ranked Top 100 Best Companies for Women in India 2022 by Avtar & Seramount . With our presence across 32 cities across globe, we support 100+ clients across banking, financial and Energy sectors. We are recognized for our deep transformation execution and delivery. WHY JOIN CAPCO You will work on engaging projects with the largest international and local banks, insurance companies, payment service providers and other key players in the industry. The projects that will transform the financial services in...

As the VP Financial Crime CMB & GBM for HBAP INM, you play a crucial role in supporting the Head of FC Compliance Advisory CMB and GBM to ensure that HSBC's operations in HBAP INM CMB and GBM effectively identify, manage, and mitigate Financial Crime risks. Your responsibilities include: - Supporting CMB & GBM Advisory to maintain an effective control framework and ensure compliance with relevant laws, regulations, and internal policies. - Articulating Financial Crime risks for HBAP INM CMB & GBM. - Providing advisory services to ensure clear understanding of compliance risk exposure. - Managing relationships with regulators on behalf of HBAP INM CMB & GBM. - Governing Financial Crime risk e...

This job is with Standard Chartered Bank, an inclusive employer and a member of myGwork the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly. Job Summary Excellent communication in English (articulation and writing) Excellent listening skills Ability to clearly articulate messages to different audience groups Ability to establish and maintain strong relationships, manage stakeholders. Flexible and adaptable; able to work in ambiguous situations. Resilient and tenacious with a propensity to persevere. Forward looking with a holistic approach Able to work effectively at all levels in an organization. Must be a team player and able to facil...

Roles & Responsibilities • Help deliver the yearly compliance Advisory plan by completing assigned tasks accurately and on time. • Identify gaps or weaknesses in controls, determine root causes, and suggest practical solutions to reduce risks. • Collaborate with the Head of Compliance Advisory to agree action plans with the business and follow up to ensure risks are addressed and closed. Escalate any concerns where necessary. • Stay informed about UK regulatory changes, particularly those from the FCA, and assess their impact on the companys risk profile and operations. • The role is focused on providing outsourced compliance Advisory services to UK-regulated firms, ensuring all activities m...

Job Title: Compliance Officer AIF/PMS Location: Mumbai (Andheri) Experience Required: 67 years About the Role: We are looking for an experienced Compliance Officer to manage and oversee compliance for our Alternative Investment Fund (AIF) and Portfolio Management Services (PMS) business. The role involves ensuring adherence to SEBI regulations, internal policies, and providing guidance to business teams. Key Responsibilities: Ensure compliance with SEBI (AIF/PMS) regulations, circulars, and reporting requirements. Draft, implement, and update compliance policies and internal controls. Monitor KYC/AML processes and investor onboarding. Handle regulatory inspections, audits, and filings. Liais...

Key Responsibilities Strategy Awareness and understanding of the Group's business strategy Business Manage and/or resolve alerts/cases Follow the Correspondent Banking DOI to process risk events in line with the Assess, Analyse, Act (AAA) process. Processes Manage and/or resolve alerts/cases: Follow the Correspondent Banking DOI to process risk events in line with the Assess, Analyse, Act (AAA) process. People & Talent Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm. Risk Management Analyse significant financial crime risk events (e.g. non-compliant transactions, production orders) to ensure that all...

Job Summary The Transaction Screening Senior Specialist (Individual Contributor) is responsible for overseeing and executing end-to-end transaction screening activities to ensure compliance with applicable sanctions regulations and internal policies and operational procedures. This role involves reviewing processes and transactions for accuracy and compliance, identifying areas of improvement and collaborating with cross functional teams. This role plays a critical part in identifying and escalating potential sanctions hits, conducting in-depth investigations, and supporting enhancements to screening systems and procedures. The individual will also collaborate with key stakeholders to ensure...

- 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

This job is with Standard Chartered Bank, an inclusive employer and a member of myGwork the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly. Job Summary Strategy Input to Country/Client Business operating model design of relevant FCSO and business processes. Ensure that there is adequate support (people, processes, tools, frameworks, systems) in the Country/Department for necessary FCSO controls Implement the vision, strategy, direction and leadership for the Country/Department, consistent with the vision and strategy for FCSO and in support of the Group's strategic direction and growth aspirations. Business Responsible in analysing ale...

Job Summary Processes Manage and/or resolve alerts/cases. Follow the Screening DOI to process risk events in line with Assess, Analyse, Act (AAA) process. Do further analysis and escalations using knowledge about complex products Risk Management Analyse significant financial crime risk events (e.g. non-compliant transactions, production orders) to ensure that all connected parties, particularly cross-border are identified and reported at the appropriate levels internally across all relevant jurisdictions. Apply Group and FCC policies and processes (AML surveillance, client screening, risk assessment) to manage risks. Governance In the event of serious regulatory breaches, or where risk toler...

As a selected intern at the company, your day-to-day responsibilities will include: - Developing, maintaining, and auditing complex financial models in Excel for forecasting, budgeting, and valuation purposes. - Performing in-depth financial statement analysis (horizontal, vertical, ratio) to assess client performance and identify trends. - Analyzing large datasets to extract meaningful insights and tell a compelling financial story. - Reviewing and analyzing client accounting records and processes for accuracy and efficiency. - Providing expert advice on accounting standards (Ind AS / IFRS / US GAAP) and ensuring compliance. - Assisting clients with month-end and year-end closing procedures...

As a Compliance Advisory VP at Barclays US Consumer Bank, you will provide leadership, oversight, and challenge on compliance risks and regulatory obligations. You will support critical business functions by reviewing marketing materials, advising on policy enhancements, and engaging with senior leaders. Your role involves ensuring the business operates in alignment with legal and regulatory standards through robust compliance frameworks, offering an opportunity to drive strategic compliance initiatives while supporting business growth. Key Responsibilities: - Proven experience in compliance advisory, risk management, and regulatory oversight - Understanding of U.S. consumer regulations such...

Role Overview: Our mission at Controlling and Finance Assurance (CF A) is to provide objective, factual, and independent foresight to help Siemens be excellent and to improve the overall success of the company. As a business partner to Siemens management, we leverage our expertise in a wide range of topics in order to create an impact. Ecosystems of collaboration provide a basis to derive and apply innovative methodologies for a new level of assurance. We offer an inspiring, diverse, and inclusive environment for our people to develop professionally and personally. Our core values, being respectful, curious, humble, and open, define how we work together as a department. To deliver on our vis...

Our mission at Controlling and Finance Assurance (CF A) is to provide objective, factual and independent foresight to help Siemens be excellent and to improve the overall success of the company. As a business partner to Siemens management, we leverage our expertise in a wide range of topics in order to create an impact. Ecosystems of collaboration provide a basis to derive and apply innovative methodologies for a new level of assurance. We offer an inspiring, diverse and inclusive environment for our people to develop professionally and personally. Our core values, being respectful, curious, humble and open, define how we work together as a department. To deliver on our vision of being pione...

This job is with Standard Chartered Bank, an inclusive employer and a member of myGwork the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly. Key Responsibilities Strategy Ensure that there is adequate support (people, processes, tools, frameworks, systems) in the respective team for necessary FCC controls. Business Produce quality QCO review output - Undertake a broad range of QCO reviews of FCSO Risk Irrelevant closures with appropriately calibrated error classification. Ensuring that all reviews are completed to a high standard, in line with internal timelines and in line with AAA and FCC Policy and Procedures Processes Publish qualit...

Key Responsibilities Strategy Ensure that there is adequate support (people, processes, tools, frameworks, systems) in the respective team for necessary FCC controls. Business Produce quality QCO review output - Undertake a broad range of QCO reviews of FCSO Risk Irrelevant closures with appropriately calibrated error classification. Ensuring that all reviews are completed to a high standard, in line with internal timelines and in line with AAA and FCC Policy and Procedures Processes Publish quality control results and lead discussions with the investigative teams to highlighted identified exceptions and thematic trends, if any Adhere to expected deadlines as stated in the DOIs through prope...

The role requires strategic thinking and technical expertise in financial crime detection and prevention, particularly utilizing advanced analytical methodologies. As a skilled professional, you will be responsible for designing, developing, and deploying analytics/models to identify suspicious activities and financial crime. Your role will involve enhancing Transaction Monitoring effectiveness, in compliance with the regulations governing the financial sector. You will play a crucial part in developing anomaly detection models, behavior profiling, network analysis, and predictive scoring for TM Solutions. Moreover, you will act as a key point of contact for AML Transaction Monitoring Modell...

Compliance Team Member - Treasury Department Compliance Location Mumbai Number of Positions 1 Reporting Relationships Reporting to Deputy Vice President(M6) Position Grade Senior Manager(M4) The key responsibilities would include the following: Supporting the business/treasury function of the bank by giving advisory on all treasury related matters from Compliance Perspective. Supporting the team lead in reviewing Treasury related Products, Policies, Processes and notes. It involves providing compliance advisory and feedback giving feedbacks and advice to ensure the bank processes are comprehensive and compliant with regulatory guidelines. Advising on all matters relating to Market risk. Revi...

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 ad...

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 aspe...

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 ...

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 designa...