Preparation of Compliance Review plan to be put up to the Board.
Preparation and updating of Compliance review checklists in line with
the regulatory guidelines/internal policies.
Managing the Compliance Review team to ensure that the compliance
reviews are completed as per the Compliance review plan.
Undertaking field work and ensuring that the review is completed
within the prescribed timelines.
Preparation of Draft Compliance Review report and discuss the same
with the relevant stakeholders.
Obtain the responses from the stakeholders and preparation of Final
Compliance Review Report.
Ensure proper documentation and working papers are maintained for
all the compliance reviews conducted.
Preparation of Open Issue tracker for Compliance Review Reports
issued.
Follow up with the management towards closure of compliance
review open issues.
📌 Hiring For Compliance Testing For A Leading Bank Mumbai
🏢 Skill Ventory
📍 Mumbai
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