01Overview
Opportunity to work with a leading NBFC Opportunity to Lead the Compliance Testing Department
About Our Client
The company is a leading NBFC with PAN India Presense.
Job Description
1. Compliance Testing & Review Execution
Perform endtoend compliance testing reviews as per the annual Compliance Testing Plan. Develop detailed test plans, sampling criteria, and testing scripts for each review. Conduct walkthroughs of processes to understand regulatory requirements, controls, and risks. Test the design and operating effectiveness of compliance controls across business functions. Document test results, observations, evidence, and deviations in a structured manner.
2. Reporting & Issue Management
Draft highquality testing reports summarizing observations, risks, and noncompliances. Work with business teams to obtain management responses and agreed action plans. Track implementation of corrective actions and validate closure of compliance issues. Escalate highrisk findings to senior compliance management as needed.
3. Regulatory & Policy Compliance
Evaluate business and operational processes for adherence to regulatory guidelines, internal policies, and industry standards. Support thematic reviews triggered by recent regulations, emerging risks, or compliance incidents. Assist in identifying regulatory gaps and recommending remediation measures.
4. Risk Assessment & Control Evaluation
Assist in updating the compliance risk assessment by analyzing testing results and new emerging risks. Identify weak controls, recurring issues, and potential systemic failures. Provide inputs to strengthen the compliance controls library.
5. Data & Documentation Management
Maintain complete testing documentation, evidence, working papers, and trackers for audits and inspections. Support automation of testing workflows and usage of compliance tools and systems.
6. Stakeholder Collaboration
Coordinate with operations, business, legal, audit, and risk teams to gather process knowledge .
