62 Compliance Testing Jobs - Page 3

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

Inspection of fabricated tanks vessel Perform QA check dimensional accuracy welding inspection surface finish drawings compliance quality document record reports quality issues initiate non-conformance report coordinate corrective actions.

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.

Tata Capital Ltd is looking for Manager - Compliance - Housing to join our dynamic team and embark on a rewarding career journey Regulatory Compliance: Monitor and ensure compliance with all relevant laws, regulations, and industry standards that affect the organization Policy Development: Develop, implement, and maintain compliance policies, procedures, and programs to mitigate risks and maintain adherence to regulations Risk Assessment:Risk Analysis: Conduct risk assessments and analyze potential compliance risks, providing recommendations for risk mitigation Training and Education:Training Programs: Develop and deliver compliance training programs for employees to ensure awareness and understanding of compliance requirements Reporting:Reporting: Prepare and submit compliance reports to senior management and regulatory authorities as required Investigations:Incident Management: Investigate compliance-related incidents, violations, or concerns and recommend corrective actions Audits:Internal Audits: Coordinate and participate in internal compliance audits to assess the effectiveness of controls and policies Monitoring and Testing:Compliance Testing: Perform ongoing monitoring and testing to ensure adherence to compliance requirements Compliance Culture:Promote Culture: Foster a culture of compliance within the organization, emphasizing ethical behavior and integrity

Role: 7+ years of experience in regulatory compliance (excluding CS/AML/Audit) in banking domain must. One should handle day to day regulatory Compliance of RBI, PMLA, UIDAI, NPCI, CKYC etc. Handling RBS for the Bank from end to end

Ensure compliance with corporate laws, including Companies Act, SEBI regulations, and FEMA guidelines. Organize board and committee meetings, including scheduling maintain statutory records and filings with regulatory bodies such as MCA, SEBI, RBI

Key Areas of responsibility include but are not limited to: Responsible for New Image processing topics during medical device development Drives implementation of new imaging algorithms to improve X-ray image quality based on clinical feedback and/or new developments Brings deep expertise in embedded systems to derive architectural decisions impacting image processing implementation topics Key member of the Product Steering Group (PSG) / Product Lifecycle Group (PLG) and checks the dependencies to the product risk management in case of product changes ([R06]), Assists/ Supports product compliance testing Supports in requirements analysis and development of the system functional specifications Expertise in risk engineering during medical device development will be a plus The System Engineer of AT is actively and collaboratively involved in the continuous improvement of processes in his/her area of responsibility. Job knowledge, skills, and experience Bachelor/ Master in Electronics/ Electrical engineering with at least 5-6 years of work experience, preferably with X-ray diagnostic medical products Hands-on experience in clinical image processing and image quality topics A go-getter driving interactions between other team members, stakeholders from other Siemens Healthineers global locations and internal factory teams ensuring things get done. A good background of MDR, Medical device Regulatory affairs, IEC Standards and Medical device Risk Management is a plus. Exposure to risk engineering, user documentation and/or IEC compliance testing. Candidates with exposure to end-end medical device product development highly preferred

Opening for Compliance Testing:- Position: Compliance Testing L2 to L5 (Immediate Joiners Preferred) Experience: 2 to 16 years, specifically in 401K compliance testing Preferred Background: Candidates from Congruent are highly preferred Work Mode: Work from office at Polygon Shift Timings: Rotational shifts (8:00 AM5:00 PM, 1:00 PM10:00 PM, 5:30 PM2:30 AM) Key Skills: ADP/ACP testing, Top Heavy and Coverage testing, 5500 form processing Opening for 401K :- Position: Any 401K Process L2 /L3 (Immediate Joiners Preferred) Experience: 2 to 6 years Work Mode: Work from office at Polygon Shift Timings: US shifts 5:30 PM2:30 AM Key Skills: 401K, US Retirement Process, Define benefits, Defined contribution Preferred candidate profile Compliance Testing roles. (WFH) will not be provided beyond 30 days of the notice period For immediate joiners who can start between May 30 and June 1 WFH will be provided Drop CV- reeta@enejobs.com

Assess and interpret regulatory guidelines to define actionable steps. Ensure timely dissemination and implementation of regulatory updates. Drive compliance through policy formulation and MIS review. Advise business units on controls to meet regulatory standards. Engage with regulators for guidance and handle regulatory queries. Review products and policies for regulatory alignment. Monitor compliance through KCIs, testing, and audits. Identify breaches, support root cause analysis, and define corrective actions. Conduct annual compliance risk assessments and training programs. Report key compliance matters to the Board and participate in governance forums.

Apply Here: https://forms.gle/rY4MWtwuo4vPyzbj8 (Copy/paste in browser) Job Domain: 401K Retirement Compliance Testing (Immediate Joiner) Experience Level: 1-8 Years Shift : Flexible to work in night shifts is mandatory Days Off: Fixed Saturday and Sunday (Flexible to support on Saturday if required) Mode of Work : Work from office Job Description: We are seeking a detail-oriented and experienced Senior Compliance Analyst to join our team. The ideal candidate will be responsible for ensuring compliance with 401(k) retirement plan regulations , conducting compliance testing , and managing the 5500 form filing process . This role requires strong analytical skills, knowledge of IRS and DOL regulations, and the ability to work independently while collaborating with cross-functional teams. Key Responsibilities: Conduct annual 401(k) plan compliance testing , including ADP/ACP, Top Heavy, and Coverage testing . Prepare and review Form 5500 filings , ensuring accuracy and timely submission in accordance with IRS and DOL regulations. Analyze plan data to identify compliance risks and recommend corrective measures. Work closely with internal teams, external auditors, and plan sponsors to ensure adherence to compliance standards. Stay up to date with regulatory changes affecting 401(k) plans and implement necessary updates. Assist in plan corrections and amendments as needed. Provide guidance and training on compliance requirements to internal teams and clients. Qualifications & Skills: Bachelors degree in Accounting, Finance, Business, or a related field. 2+ years of experience in 401(k) compliance, retirement plan administration, or related fields. Strong knowledge of ERISA, IRS, and DOL regulations governing retirement plans. Experience with compliance testing methodologies and Form 5500 preparation & filing . Proficiency in Excel and compliance testing software. Excellent analytical and problem-solving skills. Strong attention to detail and ability to manage multiple deadlines. Effective communication and stakeholder management skills. Preferred Qualifications: ASPPA, QKA, CEBS, or other relevant certifications. Experience with third-party administrators (TPAs) or recordkeepers. Why Join Us? Competitive salary and benefits. Work with a dynamic and experienced team. Growth opportunities in the compliance and financial services industry. Apply Here: https://forms.gle/rY4MWtwuo4vPyzbj8 (Copy/paste in browser)

Job description We have a vacancy with below details, Role : Compliance Testing Experience -2-16 Notice Period : Immediate to 45 days ( Currently serving) Work Mode :WFO Shift Timings: Rotational shifts (8:00 AM5:00 PM, 1:00 PM10:00 PM, 5:30 PM2:30 AM) Key Skills: Compliance Testing,401K Process ADP/ACP testing, Top Heavy and Coverage testing, 5500 form processing, Compliance testing, 401K Process We are seeking an experienced Senior Financial Associate to join our Retirement Services team, with a focus on 401K, Defined Contributions, and Pension processes. The ideal candidate will have a strong background in the retirement industry, with Proven expertise in 401K retirement process from Enrollments, Money-In, Money-Out, new comparability, 5500 forms, and compliance testing, onboarding & off boarding of 401K accounts. This role requires someone who can work independently and collaboratively with cross-functional teams, while managing key deliverables and ensuring accurate management reporting.

Role & responsibilities The Senior Financial Associate is responsible for Enrollments, Money-In and Money-Out and Reconciliation processes. Will be responsible for delivering the assigned processes with high quality in the prescribed turnaround time. The successful candidate must have excellent communication and organizational skills, as well as the ability to work independently and as part of a team. Maintain high level of connect and engagement with the Line of businesses and business partners in region specific. The primary responsibility will be managing the Retirement Process, 401K, Defined Contributions, and Defined Pensions. Responsible for developing and implementing accounting policies and procedures, and ensuring accuracy and completeness of financial records. Prepare and review annual financials as per financial reporting standards and ensure reporting as prescribed accounting standards within due timelines Must have strong knowledge in accounting and be able to work independently and collaboratively with other departments. Preferred candidate profile The successful candidate must have at least 2 - 7 years of experience in accounting, MS Office Suite, and SAP ERP. 2 to 7 years of experience in 401K Compliance Testing Experience in ADP/ACP Testing, Top Heavy and Coverage Testng, 5500 Form Processing Education Qualification should be B.Com / M.Com / MBA Finance Hands-on experience in areas of Defined Benefits / 401K / Pension Retirement claims / US Pension Retirement accounts / Insurance Claims. Should be flexible to work in shifts & extended shifts per business requirement