- Testing Framework
- Assist in preparing annual compliance testing plan for senior management
- Review and Track monthly & quarterly plans/scope and update senior compliance leadership on progress
- Provide detailed report to Compliance senior management on a regular basis of the review conducted in a month and critical gaps identified during the review along with status

- Regulatory Compliance
- Review the testing checklists required for the review for each regulated business
- Review loan book, regulatory returns and other information submitted to RBI / NHB
- Develop solutions to address specific challenges faced by the business units in regulatory compliance matters including impact assessments

- Business, Policies & Processes
- Develop a comprehensive understanding of Company’s business, systems, Policies and processes.
- Acquire in-depth process understanding for planned audits, including processes, systems involved, data flow, and datasets.
- Formulate queries, lead process walkthroughs with key business stakeholders and document the outcome with thorough identification of risks and controls.




- Drives and understand root cause of the observations and ensure
- implantation of corrective actions.
- Co-ordinate/Collaborate with various verticals such as Compliance, Credit, CX, Ops, Product and tech teams for ensuring overall compliance framework

- Systems/Journeys
- Assess the loan journeys, internal tech journeys and developments to ensure adherence to regulatory guidelines and internal policies/processes

- Identification, Reporting and Mitigation of Compliance Risks
- Carry out Annual Compliance Risk assessment and mitigation actions
- Assist the Compliance leadership in providing updates to senior management on the critical compliance issues for immediate attention and escalations

- Regulatory Inspections/Audits
- Provide constant support during regulatory inspections
- To act as a bridge between Internal Audit/Regulators and Business to follow up on IA recommended action closures by business units

- Team Management

Lead compliance testing team

Qualification

Essential – CA / CS / CIA / MBA Finance

Preferred – CA/CS

📌 Manager - Compliance Testing (Mumbai)
🏢 Godrej Capital
📍 Mumbai