6 Compliance Risk Jobs

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