Role Purpose To lead and execute a robust compliance assurance program across business units,

ensuring adherence to regulatory requirements and internal policies / processes. The role involves testing of regulatory obligations, reporting and tracking, to strengthen the compliance framework and mitigate regulatory risks.

Key Responsibilities

Execute and ensure timely delivery of Compliance Reviews, including Branch

Reviews as per the review plan approved by ACB aligned with RBI and other regulatory guidelines.

Conduct RBS Tranche III Testing as per RBI’s Risk-Based Supervision guidelines.

Create recent system rules for automating testing of regulatory obligations on a continuous basis and analyse the exceptions.

Integrate data analytics and automation tools for enhanced testing efficiency.

Carry out detailed reviews of processes, products, and systems to identify gaps and recommend corrective actions.

Perform sample checks, walkthroughs of processes, products and systems and control validations.





Prepare Compliance Review Reports highlighting observations, root causes, and remediation plans.

Present findings to Senior management and Audit Committee.

Maintain centralized repository of testing results for regulatory and internal audits.

Regulatory Alignment

Stay updated on regulatory changes and incorporate them into testing programs.

Liaise with regulators during inspections and audits, ensuring timely and accurate responses.

Stakeholder Management

Collaborate with business, operations, risk, internal audit and technology teams

Provide advisory support on compliance matters and emerging risks.

Additional Strategic Responsibilities

Drive continuous improvement through automation, AI-driven analytics.

This is a Public document.

Contribute to compliance risk assessment and annual compliance plan.

Support training and awareness programs for business units on compliance observations.

📌 Compliance Testing (Mumbai)
🏢 SKILLVENTORY
📍 Mumbai