Manager Compliance monitoring and Testing

Compliance Monitoring & Testing (CMT)

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Industry:

Compliance Monitoring & Testing (CMT)

Role Overview

The incumbent will be responsible for executing compliance monitoring and testing activities to assess adherence to regulatory requirements, internal policies, and control standards, with a strong focus on retail asset businesses.

Key Responsibilities

• Conduct

  risk-based compliance monitoring and testing

  as per the approved annual plan.
• Develop testing frameworks, sampling methodologies, and control assessments across products and processes.
• Identify compliance gaps, document findings, and recommend corrective and preventive actions.
• Prepare and present

  compliance testing reports

  to senior management and governance forums.
• Track closure of observations in coordination with business and functional teams.
• Work closely with

  Internal Audit, Risk, Legal, and Business teams

  to enhance overall compliance effectiveness.
• Support regulatory inspections and follow-up actions, as required.

Candidate Profile

• 5 to 1 2 years of experience in

  Compliance Monitoring & Testing, Internal Audit, Risk, or Controls

  within a Bank / NBFC / Financial Institution.
• Candidates with

  Internal Audit experience in Retail Assets

  (Loans, Credit Operations, Collections, etc.) will be preferred.
• Strong understanding of

  RBI regulations

  applicable to Banks / NBFCs.
• Good analytical skills with the ability to interpret regulations and translate them into practical testing programs.

Educational Qualifications

• Graduate / Postgraduate in

  Finance, Commerce, Law, MBA, or related fields

  .

Why Consider This Opportunity

• Opportunity to work with a

  reputed and stable financial institution

• High-visibility role within the compliance function
• Exposure to regulatory interactions and senior stakeholders