37 Compliance Review Jobs - Page 2

A Compliance Auditor ensures adherence to laws, regulations, and internal guidelines. They enforce standards, review compliance, and conduct labor law audits.

Role & responsibilities Role -Compliance Manager Grade -Vice President Reporting -Chief Compliance Officer Department -Compliance • Prepare Annual Compliance review plan • Trade FEMA advisory • Conduct compliance testing wherein the products / processes are being tested to primarily ascertain the adherence of regulatory guidelines, internal policies and processes of the Bank • Amendment to the existing checklist / making of new checklist for the compliance testing Conducted Compliance testing for the following major areas 1) Liabilities and wealth management (Customer services, KYC, etc) 2) Transactions in various accounts of the banks (like EEFC, NRO, NRE, etc) 3) Trade Finance (All applicable regulations, rules and guidelines as per FEMA for FDI. ODI, trade, etc). 4) Digital Banking (All digital products like PPI, internet Banking, mobile Banking, AEPS, BBPS, etc.). 5) Outsourcing activities of the Bank (Total outsourced regulatory matters) Financial markets (derivatives, etc.). 6) Branch audits for on regulatory compliance purpose (online & offline) 7) Credit portfolio (wholesale and retail loans review including NPA) 8) Credit Card, HCM, KYC, Gold metal loan. 9) New Products review (commodity hedging, MCTC Card, VCIP, etc.) • Discuss draft report / observations with Senior Management and obtain Management Response • Prepare and issue Compliance testing reports to the Top Management of the Bank • Advice on the process note and preparation of the plan for review of various Process notes • Follow-up on open issues with respective Unit Heads for timely closure of open issues

Assist Compliance Officer in compliance duties for regulations & rules issued by SEBI Monitor the resolution of client grievances for all projects Support the Compliance Officer in monitoring the compliance of Operations Provide regular reports Required Candidate profile Understanding of compliance regulations Compliance-related duties for regulations and rules issued by SEBI under KRA Regulation, UIDAI, CCA, GSTN, or the Central Government. Contact-Ankit-8104808547

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. This is a broad role for a qualified company secretary (member of the Institute of Company Secretaries of India) with sufficient work experience (8+ years) who will support the corporate secretarial function for the banking business of American Express in India (AEBC India) and ensure its robust governance, oversight and compliance. This role shall be instrumental in driving the transformation of strengthening the Country Executive Committee (CEC) and other committees effectiveness, oversight and elevating the corporate governance standards. Job Description Corporate Secretarial assistance to the Country Executive Committee (CEC) and other committees in line with all statutory and regulatory guidelines. The position currently reports to the CEO of AEBC India, and shall function in close collaboration with General Counsel Organization. Lead the development, implementation and continuous improvement of AEBC India’s governance, policies, framework and practices including CEC and other committees’ composition, structure, charters, decision making protocols and onboarding of its members. Enhance the effectiveness of the CEC and other committees, ensuring alignment with regulatory expectations and governance best practices. Provide expert guidance to the CEC and other committee members on regulatory expectations and their fiduciary duties. Ensure timely and proper convening, conduct, and documentation of CEC and other committee meetings, including agenda planning, preparation, collation of materials, accurate recording of minutes and ensure follow-through on action items in a timely and effective manner. Monitor and improve the effectiveness of governance structures by maintaining oversight on reporting lines, decision-making hierarchies, and committee charters, ensuring consistency, transparency, and alignment with best practices. Maintain statutory/regulatory registers, filings, and compliance records, and oversee disclosures to regulatory authorities and ensure accuracy and confidentiality of all records. Support CEC and other committees’ evaluation processes, induction, and ongoing governance training for CEC and other committee members. Liaise with regulators as required for governance and secretarial matters. Stay abreast of changes in corporate and banking laws and ensure that AEBC India and its parent entity (AEBC NY) remains in full compliance with regulatory guidelines and governance standards. Act as a bridge between the management and CEC to enable balanced, informed decision making and clear accountability. Collaborate with key internal stakeholders including senior management and auditors for discharging corporate secretarial matters, embedding and promoting a strong culture of governance and compliance. Performing compliance reviews /monitoring, preparing compliance reports and assist in implementing the legal entity governance mechanism in an efficient and effective manner. The role requires the incumbent to possess relationship management and influencing skills with thorough understanding of corporate and banking laws, governance practices, compliances & regulatory environment of the financial services sector in India, including current and emerging issues and regulations impacting the banking business of AEBC India. The role requires the incumbent to have strong working methodology, which includes systematic and detailed approach to work and an ability to work independently with minimal supervision and complete tasks in a timely manner. Qualifications, Skills & Experience Qualified Company Secretary and Member of the Institute of Company Secretaries of India (ICSI) having 8+ years post qualification work experience (with stability, consistency, and proven track record). Deep understanding of corporate governance, board and other committees functioning and regulatory compliances for AEBC India and AEBC NY. Experience of banking industry, including knowledge of credit card, merchant, and network business, IT enabled services, information security and technology regulations, digital payment landscape in India and data privacy will be an advantage. Demonstrated experience in managing board and committee processes, regulatory filings, and stakeholder engagement at the senior leadership level. High level of integrity, judgement and discretion in handling sensitive matters. Exceptional written and verbal communication skills, discretion, and integrity. Proactive and detail-oriented with the ability to manage multiple high-stakes priorities. Strong collaboration skills and proven ability to adjust quickly to shifting priorities and maintain serenity, resilience, and clear thinking through stressful, confrontational, and fast-changing/fast-paced situations. Compliance Language We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: Competitive base salaries Bonus incentives Support for financial-well-being and retirement Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location) Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need Generous paid parental leave policies (depending on your location) Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) Free and confidential counseling support through our Healthy Minds program Career development and training opportunities American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.

Hiring Chief Compliance Officer for Beleaf Technologies (Madurai/Delhi/Dubai). Lead AML/CTF programs, ensure regulatory compliance, manage reporting, and liaise with authorities. 2+ yrs experience, CAMS preferred. Full-time, on-site role.

About this role: Wells Fargo is seeking a Valuations Coordinator. In this role, you will: Perform valuation reviews to confirm appropriate content and compliance with federal, regulatory and bank policy Evaluate and decision collateral for moderately complex consumer requests Suspend collateral decision until deficiencies are resolved Review and decision of collateral valuations Assist with the calculations and preparation of reports for reviews Interact daily with internal and external partners to clarify quality concerns identified during the review process Provide guidance to less experienced staff Interact with organizational department on a wide range of knowledge Interact with internal or external customers in a customer support role Required Qualifications: 2+ years of Valuations or Lending experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Responsibilities: * Manage legal compliance and reviews * Ensure intellectual property protection * Oversee drafting agreements and documents * Adhere to labor laws and company acts * Annual filing of the Companies and LLPs; Annual bonus

Company Profile: Infinity IPS Founded in 2003, Infinity IPS is a mortgage industry leader in providing end-to-end services and solutions. We specialize in mortgage due diligence, pre-fund and post-close quality control, mortgage servicing reviews and loan brokering services. We are vetted by all 5 major rating agencies. Our clients are financial entities including investment banks, commercial banks, mortgage companies, government agencies and mortgage insurers Post Analyst Compliance – US Mortgage - WORK FROM OFFICE Location – Bangalore & Pune Job Shift – 7 pm to 5 am - Night - 5 Days a Week – Saturday & Sunday Off PERSON WITH EXPERIENCE IN COMPLIANCE REVIEW OF US MORTGAGE REQUIRED MUST HAVE KNOWLEDGE CLOSING DISCLOSURE, LOAN ESTIMATE, TRID, POST CLOSING IMMEDIATE JOINERS AND PERSONS WHO CAN JOIN IN 15 DAYS ARE PREFERRED. Position Overview: The Compliance Analyst – US Mortgage (Non-QM) is responsible for ensuring that Non-Qualified Mortgage (Non-QM) loans adhere to regulatory requirements, investor guidelines, and company policies. This role involves reviewing Non-QM loan files, monitoring compliance programs, identifying regulatory risks, and working with internal teams to ensure that Non-QM mortgage operations align with legal and regulatory standards. Key Responsibilities: Ensure compliance with federal and state regulations, including Dodd-Frank Act, CFPB, ATR (Ability-to-Repay) Rule, TILA, RESPA, ECOA, HMDA, and FCRA as they relate to Non-QM loans. Verify that Non-QM loans meet the Ability-to-Repay (ATR) requirements while remaining within investor and secondary market guidelines. Conduct pre-funding and post-funding audits on Non-QM loan files to ensure compliance with investor and regulatory requirements. Ensure that all loan disclosures comply with state-specific lending laws and high-cost loan regulations. Experience with mortgage compliance software and loan origination systems (LOS) such as Encompass, Calyx, Mavent or proprietary Non-QM platforms. Knowledge of fair lending regulations, high-cost loan thresholds, and state-specific lending compliance for Non-QM loans. Reviewing documents related to origination such as CD (Closing Disclosures) , LE (Loan Estimates), 1008, 1003, 1004, Credit report. Performed root-cause analysis (RCA) to provide feedback. Loan Review & Risk Analysis : Review and analyze mortgage loan files to ensure all required documentation is complete and accurate. Identify any potential risks or discrepancies and ensure corrective actions are taken.

We Have come across your profile on Naukri and we have a permanent opportunity which might be of your interest. Our client ( Insurance based Org ) is looking for a Executive/Senior Executive-Compliance operations in Gurgaon . Please refer the below details. Also, please let me know the best time and number to reach you. Job Details: Position:- Job Location:- Gurgaon Work Mode- WFO-6 days Job Description The Operations Compliance Specialist will play a critical role in supporting the compliance and risk management functions of the organization, with a particular focus on insurance operations. This role involves ensuring that the company adheres to relevant regulatory requirements, industry standards, and internal policies while optimizing compliance processes. The ideal candidate will have experience in the insurance industry, strong knowledge of risk management principles, and a meticulous approach to managing compliance operations. Key Responsibilities: Compliance Oversight: - Monitor and enforce compliance with applicable insurance regulations, industry standards, and company policies. - Conduct regular audits and assessments to identify compliance gaps and potential risks within operational processes. - Develop and implement compliance programs and procedures to ensure adherence to all regulatory requirements- Operational Support: - Collaborate with Operations and Underwriting teams to streamline processes that impact compliance and risk management. - Monitor daily operations for compliance with insurance policies and regulations, including claims processing, underwriting, and policy issuance. - Provide guidance and training to operational staff on compliance and risk management best practices. Regulatory Reporting and Documentation: - Prepare, review, and submit regulatory filings as required by local, state, and federal authorities. - Maintain accurate and up-to-date records of compliance-related activities, risk assessments and audit findings. - Ensure all documentation is compliant with industry regulations and readily available for internal and external audits. Stakeholder Collaboration: - Serve as a liaison between Compliance, Legal, Operations, and other departments to facilitate compliance related projects and initiatives. - Engage with external stakeholders, such as auditors and regulatory agencies, during inspections, audits, and inquiries. - Stay current on industry changes, regulatory updates, and emerging trends in insurance and risk management to keep the organization informed and compliant. Risk Management: - Support risk management initiatives by identifying, assessing, and mitigating operational risks related to insurance. - Maintain risk registers and update risk mitigation strategies based on changes in the regulatory landscape or business activities. Collaborate with the Risk Management team to develop, implement, and review insurance policies and procedures that align with corporate risk tolerance. - Education: - Bachelor's degree in Business, Risk Management, Law, Finance, or related field. - Professional certifications in insurance, compliance, or risk management. Experience: - 1+ years of experience in compliance, risk management, or operations within the insurance or financial Services industry. - Familiarity with insurance regulations, compliance frameworks, and risk management practices. - Skills and Competencies: - Strong analytical skills with an ability to identify potential compliance and operational risks. - Excellent communication and interpersonal skills for effective collaboration with internal teams and External stakeholders. - Proficiency in compliance and risk management software is preferred. - Detail-oriented with exceptional organizational and problem-solving abilities. Thanks & RegardsPriyanga KumariBean HR Consulting-"Ahead Your Search"Contact +91- 9258253736https://beanhr.comLocations:- Ghaziabad(NCR)/Dehradun.

Designation- Senior Manager (Internal Audit) Experience- 7+ years Location- Gurgaon ABOUT US: Founded in 1998, BYLD is the largest group in the South Asian region, offering technology-enabled HR and business productivity solutions. We have served 5,00,000+ individuals, worked with more than 50% of the Fortune 500 and over 60% of the Business World top 1000 companies. Please read about us www.byldgroup.com Job Summary: We are seeking an experienced professional for the role of Senior Manager ( Internal Auditor) , who brings a unique blend of internal audit expertise, corporate legal acumen, and strong financial insight. The ideal candidate will proactively manage legal risk, ensure compliance, and strengthen internal controls across the group entities. This role is integral to shaping our governance frameworks and supporting strategic decisions. Key Responsibilities: 1-Audit & Internal Controls Design, implement and oversee internal audit frameworks across group entities Conduct risk assessments, operational audits, and financial compliance reviews Recommend and monitor corrective actions to enhance internal controls Coordinate with statutory and internal auditors to ensure compliance and smooth audit processes 2-Corporate Governance Maintain and update statutory records and ensure timely regulatory filings Advise management on legal and compliance risks and best practices Support leadership in policy formulation for governance, ethics, and compliance Collaborate with finance teams on tax structuring, financial due diligence, and commercial terms Interpret financial implications of contractual obligations Qualifications & Requirements Minimum 7 years of prior experience in internal audit role in a mid-to-large organizations Qualification CA final or CA inter with CS Why join BYLD: Perks & Benefits: Learn directly from industry experts with 20+ years of experience Opportunity to work in a dynamic and collaborative environment. Professional development and growth opportunities. Gain experience in world class management practices Insurance Benefits (Medical and Accidental) for all employees Multi-level Rewards programs for all employees Interested candidates can share updated cv at talentacquisition.aad@byldgroup.com

Preferred candidate profile Should have experience into Ethic & Compliance, Independence Ethics, Audit Compliance( Not in Aml/KYC)********** Key skill requirements 1. 4 years of work experience 2. Ability to manage client and stakeholder requirements 3. Excellent communication skills 4. Robust analytical skills to assess parameters of compliance in client engagements. 5. Experience using external online search engines, company registries and using research and screening tools such as Orbis 6. Function as a member of extended member firm team 7. Excellent time management and ability to work under pressure with attention to detail 8. Adaptable, flexible and receptive to change 9. Self-motivated and able to work without supervision 10. Experience of using data sources such as Companies House, Dun & Bradstreet, BvD etc 11. Able to apply knowledge of MS Office applications including Excel and Teams

A Compliance Auditor ensures adherence to laws, regulations, and internal guidelines. They enforce standards, review compliance, and conduct labor law audits.