10 Compliance Risk Jobs

Role Description The Compliance and AFC Departments seek to protect the Banks licenses by promoting and enforcing adherence with laws, regulations, rules, expectations of regulators, the standards of self-regulatory organizations, and codes of conduct/ethics in connect with the Banks regulated activities, and driving a culture of compliance and ethical conduct in the Bank. Controls Testing & Assurance CT&A seeks to provide independent and objective assurance to the Management Board of the Bank, on the adequacy of the design and effectiveness of the Compliance and AFC Risk & Control framework for the areas for which it has been allocated responsibility. Controls Testung & Assurance CT&A CT&A is responsible for providing assurance testing on the design and operating effectiveness of the businesses risk and control environment and adherence to applicable regulations and the Banks policies. CT&A is responsible for developing and executing an annual, risk-based testing plan that covers the risk categories owned by Compliance and AFC. Overview of Role The function of this role is to conduct post-publication assessments of the quality of the work produced by the global Testing Team within CT&A, on a sample basis, in accordance with approved checklists and the Quality Assurance Key Operrating Documents (KODs). Your key responsibilities Assess adherence to the KODs in accordance with the assigned remit Identify and track gaps, improvements and relevant remedial actions Perform additional ad-hoc tasks relating to the broader Governance of the Testing team Deliver quality outputs and take ownership of assigned tasks with a proactive approach Establish and maintain collaborative relationships within team Your skills and experience Skills Required Thorough understanding of Compliance and or AFC risks and Testing requirements Structured and organised in approach with strong attention to detail, demonstrating a high level of diligence Performance and results oriented, able to deliver high quality results within tight deadlines Strong report writing skills Proven track record of good written and verbal presentation skills and able to communicate the results of work performed clearly clearly and concisely Good analytical skills including previous experience in Compliance and or AFC Management Information reporting Able to work independently with minimum direction Experience and Education 5+ year(s) of experience working in the Anti-Financial Crime or Compliance field in a large financial institution. Experience in similar type policy, governance or QA roles would be an advantage Good understanding of financial crime or Compliance risks and internal controls Excellent written, research, problem solving and decision-making skills Strong attention to detail and the ability to multitask is a key requirement of this role Ability to work independently and accurately within tight deadlines while prioritising workload with minimal supervision Ability to identify, escalate and communicate issues in an effective and succinct manner. Strong communication skills, both written and verbal Proficiency with Excel, Word, Powerpoint Fluent in English

As an Assistant Manager in our Non-Financial Risk team at Macquarie, you will play a crucial role in helping develop and implement Macquaries operational risk management framework across our Financial Management Group. Joining our global financial services group, you will be part of a friendly and supportive team where every member's contribution is valued. Your responsibilities will include performing design and operational testing of controls, liaising with the business to gain process understanding, identifying gaps in the control environment, and reporting findings to the business. You should have at least 2 years of post-qualification experience in Operational Risk, Internal or External Audit within a financial institution or financial services firm. A strong operational risk or assurance background, along with exposure to regulatory and compliance risk disciplines, is essential. Prior experience in group treasury, product control, financial control, tax, or financial planning & analysis will be advantageous. Financial Management, People and Engagement (FPE) is an integral part of Macquarie, providing a single interface for the Group's businesses across key areas of people, strategy, communications, and financial management. Comprising two pillars - Financial Management, and People and Engagement - FPE is responsible for managing the Group's financial, tax, and treasury activities, as well as strategic priorities. Additionally, it focuses on fostering our culture through people and community engagement strategies, engaging with stakeholders to protect and promote Macquarie's reputation globally. At Macquarie, we are committed to diversity, equity, and inclusion. We strive to provide reasonable adjustments to individuals who may need support during the recruitment process and in their working arrangements. If you require additional assistance, please feel free to communicate your needs during the application process. Join us in building a better future at Macquarie by applying for this exciting opportunity.,

As an Assistant Manager in Macquarie's Non-Financial Risk team, you will play a crucial role in helping develop and implement the operational risk management framework across the Financial Management Group. At Macquarie, we believe in the power of diversity and empowerment, fostering a collaborative environment where every individual's contribution is valued. Your main responsibilities will include performing design and operational testing of controls, collaborating with business units to understand processes, identifying control environment gaps, and reporting findings to the business. To excel in this role, you should have at least 2 years of post-qualification experience in Operational Risk, Internal or External Audit within a financial institution or financial services firm. A background in operational risk or assurance, along with exposure to regulatory and compliance risk disciplines, is essential. Previous experience in group treasury, product control, financial control, tax, or financial planning & analysis will be advantageous. Financial Management, People and Engagement (FPE) is a key area where you will be working, providing a consolidated platform for Macquarie's businesses in people, strategy, communications, and financial management. Within FPE, you will be involved in managing financial, tax, and treasury activities, contributing to strategic priorities, nurturing the organizational culture through people and community engagement strategies, and engaging with stakeholders to uphold Macquarie's global reputation. Macquarie is committed to fostering diversity, equity, and inclusion. We provide reasonable adjustments to support individuals throughout the recruitment process and in their work arrangements. If you require any additional assistance, please do not hesitate to inform us during the application process. If you are enthusiastic about shaping a better future at Macquarie, we encourage you to apply and be a part of our dynamic team.,

Role & responsibilities: Supervising dissemination of actionable emanating from new guidelines and ensuring implementation by the respective Business units of the Bank Strict monitoring through the systems/ tools available in the department of various issues relating to Digital Journeys Approval of any new/ review of existing Policy/ Internal circulars/ processes upon ensuring all regulatory/internal guidelines have been complied with. Handling of Advisory related to Compliance with Regulatory Guidelines on Digital Lending and other related guidelines. Connecting with regulators/ peer banks to seek clarification/ benchmark process followed in the bank (wherever required) Testing of regulations / processes/ controls when required. Providing relevant inputs for preparation of presentations / dashboards for senior management Co-ordinate with the respective stakeholder and ensure that proper controls are put in place to mitigate the compliance risk, Vetting of Bank's Policies, internal circulars, manuals, validation of forms from the compliance perspective, validating internal controls with various Codes (BCSBI, etc) Vetting of responses / compliance to be submitted to regulators /agencies provided by the business departments / stakeholders. Monitoring compliance risk using various tools (e.g. Key Compliance indicators, etc.) Testing Processes related to Observations/Regulatory line items of RBI and closure of Testing reports. Monitoring and tracking of Regulatory observations emanating from IAD/ CTG/ other sources, Approval and review of PMC/CMC notes in line with relevant applicable regulations /internal policies. Assisting RBI Compliance Team for onsite inspection (wherever required) Preferred candidate profile Understanding of basic processes involved in Digital Lending and product journeys, Ability to apply basic concepts to practical scenarios/ issues, Understanding of regulations/ guidelines Experience in handling Compliance related to Digital Lending and products Good Interpersonal and communication skills Excellent spoken & written (Drafting) English skills Proficiency & command in Excel, Word & PPT etc.

Role : Account Executive & Compliance Officer Location : Pune Experience : 5 to 6 Years Qualification : B.com Job Description : Key Responsibilities : ? Handle day-to-day accounting entries including journal entries, bank reconciliation, and ledger scrutiny. ? Maintain books of accounts using Tally ERP/Prime or other accounting software. ? Prepare and file monthly GST returns (GSTR-1, GSTR-3B) and TDS returns. ? Assist in the preparation of financial statements and audit schedules. ? Reconcile receivables/payables and follow up on outstanding balances. ? Generate MIS reports as required by management or clients. ? Support statutory audits and internal audits. ? Ensure compliance with applicable accounting standards and statutory requirements. ? Coordinate with clients and internal teams for smooth workflow. ? Ensure compliance with Maharashtra Co-operative Societies Act, 1960 and rules. ? Prepare and file annual returns, audit reports, and statutory forms (Form M, N, O, Y, etc.). ? Assist in conducting Annual General Meetings (AGMs) and Special General Meetings (SGMs). ? Maintain statutory records and registers as per co-operative society norms. ? Liaise with auditors, Registrars, and government departments for compliance and inspections. ? Guide clients on member issues, by-laws, and resolutions. ? Monitor timely renewal of society registration, licenses, and audits. ? Provide regular updates to clients on compliance changes or deadlines.

We are looking for a highly skilled and experienced Regulatory Compliance Manager to join our team in Bengaluru. The ideal candidate will have 3-5 years of experience in regulatory compliance or a related field, with a strong background in finance, accounting, law, or a related discipline. ### Roles and Responsibility Develop and implement effective regulatory compliance strategies to ensure adherence to industry standards. Collaborate with cross-functional teams to identify and mitigate regulatory risks. Provide expert guidance on regulatory matters, including policy documentation and client presentations. Manage and deliver high-quality work products, ensuring timely completion and meeting client expectations. Mentor and coach junior consultants, fostering a culture of teamwork and collaboration. Cultivate and manage business development opportunities, assessing and presenting new service offerings to clients. ### Job Requirements Bachelor's degree in finance, accounting, law, or a related discipline; MBA, MS, or JD preferred. Strong communication skills are required for report writing, policy documentation, and client presentations. Possess excellent organizational skills and the ability to manage competing priorities. Demonstrate analytical skills to understand financial services industry processes utilizing a compliance and control focus. Relevant experience with federal regulatory agencies (OCC, FRB, CFPB) or financial services organization Compliance Department is preferred. Proficiency in interpreting regulatory pronouncements related to FRB regulatory expectations across multiple product lines is desired. Experience with developing functional requirement documents, business process insights, identifying mitigating risk controls, and building policy documentation for all financial institutions is beneficial. Knowledge of regulatory expectations related to Regulatory Compliance Management Systems and Compliance Risk Management Programs for financial institutions serving consumers is advantageous. Experience with regulatory compliance mapping gap assessment, design and implementation assistance, development or evaluation of compliance policies and procedures, and development and evaluation of mapping testing in target-state is a plus. Experience with designing, developing, and implementing internal controls and/or testing of internal controls for financial services business processes is desirable. Consumer lending product knowledge (e.g., mortgage, auto, credit card), consumer lending life cycle knowledge (e.g., marketing, origination, pricing, risk and servicing), and consumer regulation knowledge (e.g., fair lending, CRA, UDAAP, TILA, RESPA) is beneficial. Innovative, creative, and passionate individuals who demonstrate effective leadership, project management, and teamwork skills are encouraged to apply. Prior experience leading teams and managing people in the development and delivery of client engagements, thought leadership materials, and significant go-to-market initiatives is preferred. A demonstrated ability to function effectively in a fast-paced, client-facing consulting environment is essential.

We are looking for a highly skilled and experienced professional to join our team as a Senior Consultant in Regulatory Compliance, based in Bengaluru. The ideal candidate will have 2-7 years of experience in regulatory compliance or risk management. ### Roles and Responsibility Deliver quality client services by monitoring progress, managing risk, and informing key stakeholders about outcomes. Demonstrate technical capabilities and professional knowledge in regulatory compliance. Establish relationships with client personnel at appropriate levels to understand their needs. Provide business acumen and stay current on new developments in advisory services and industry trends. Collaborate with colleagues and leadership to manage and deliver outstanding work products. Stay informed of timely regulatory and risk management updates, understanding clients' unique challenges. ### Job Requirements Bachelor's degree in finance, economics, law, or a related discipline. 2-7 years of experience in regulatory compliance or risk management. Possess strong communication skills for report writing and client presentations. Demonstrate organizational skills and the ability to manage competing priorities. Analytical skills are required to assess financial services industry processes using a compliance and control focus. Relevant experience with federal regulatory agencies (OCC, FRB) or financial services organization Compliance Department is preferred. Knowledge of regulatory expectations related to Compliance Management Systems and Compliance Risk Management Programs for financial institutions serving consumers. Experience in assessing and decomposing financial services industry processes utilizing a risk and control focus. Experience with compliance program assessment, design, implementation assistance, development/evaluation of policies and procedures, testing, and development/evaluation of testing protocols. Consumer lending product knowledge (e.g., mortgage, auto, credit card, payments), consumer lending life cycle knowledge (e.g., marketing, origination, pricing, risk and servicing), consumer regulation knowledge (e.g., fair lending, CRA, UDAAP, TILA, RESPA), and regulatory requirements of the Federal Reserve, OCC, and/or FDIC. Experience with internal controls design, development, and implementation, and testing for financial services business processes.

We are looking for a skilled Senior Consultant/Consultant IT Process improvement & Supply Chain Optimization with 4 to 7 years of experience. The ideal candidate will have a strong background in IT process improvement and supply chain optimization, with excellent analytical and problem-solving skills. ### Roles and Responsibility Headcount Management and Process Improvement. IT Infrastructure Cost Optimization and Financial Control & Management. Metrics & Reporting and People / Location Strategy. Vendor Management and Supply chain optimization for Technology spend. Assessment of Contractual risk, IT Risk, Cyber security risk, strategic risk, compliance risk, operational risk, financial risk, and reputational risk. Data centre infrastructure tech – storage, database, virtualization, infra monitoring and backup. ### Job Requirements MBA and B.Tech from a reputed institute. 4-7 years of experience as IT Presales & IT Procurement with Global Banks. Cloud Certifications are plus. Strong communication, facilitation, relationship-building, presentation, and negotiation skills. Be highly flexible, adaptable, and creative. Comfortable interacting with senior executives (within the firm and at the client). Strong leadership skills and supervisory responsibility.

About this role: Wells Fargo is seeking a Lead Compliance Officer In this role, you will: Provide oversight and monitoring of business group risk-based compliance programs Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements Oversee the Front Line's execution and challenges appropriately on compliance related decisions Develop, oversee, and provide independent credible challenge to standards with subject matter expertise Provide direction to the business on developing corrective action plans and effectively managing regulatory change Report findings and make recommendations to management and appropriate committees Identify and recommend opportunities for process improvement and risk control development Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management Oversee the Front Line's execution and challenges appropriately on compliance related decisions Make decisions and resolve issues to meet business objectives Interpret policies, procedures, and compliance requirements Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Work with complex business units, rules and regulations on moderate to high-risk compliance matters Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics Required Qualifications: 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: The role requires Compliance SME knowledge for India & Philippines In-country Laws & Regulations across areas of HR, Corporate Secretarial, Environment Health & Safety Knowledge and exposure to India regulations both BFSI and Operations Knowledge on US Regs and work on Policies and Procedure reviews and implementation would be good to have. Prior experience in Compliance Risk and Control functions will be required. Job Expectations: Oversee Compliances for Indian HR, Legal and CSR related laws and regulations. Accountable for monitoring compliance to all applicable policies, laws, regulations, RSCA and other Compliance program elements oversight. Reporting of Compliance matters to Regulators, Legal Entity Boards, Compliance Leadership and other key stakeholders.

We are looking for experienced TPRM (Third-Party Risk Management) Consultants with a strong background in the Life Sciences domain. The role involves conducting internal audits and third-party risk assessments focused on cybersecurity, compliance, operational, and fraud risks within pharmaceutical or healthcare settings. Candidates should be skilled in evaluating vendor risks, drafting SOPs and policies, performing gap analyses, and ensuring regulatory alignment. Relevant certifications like CISM, CISA, or CISSP are a plus. Location : - India(Remote) Preferably Hyderabad