Job Title Compliance Testing Lead

Reporting To Compliance Testing Head

Grade/ Level G6

Purpose Of The Role A two-to-three-line statement outlining the objective or the reason for which the job exists.

Ensure that all the key regulations / notifications and process notes are covered in the checklist and the checklist is updated simultaneously along with the review.

Key Responsibilities & Kpis Of The Role A two-to-three-line statement outlining the objective or the reason for which the job exists.

Ensure that all the key regulations / notifications and process notes are covered in the checklist and the checklist is updated simultaneously along with the review.

Responsibilities Strategy and Planning Assess audit universe, risk assessment methodology, and annual audit plan to ensure adequacy of review coverage aligning with bank’s risk profile. To ensure risk ratings and audit prioritization are justified and consistently applied.

Policies, Processes & Procedures Preparation and updating of Compliance Testing framework and review checklists in line with the regulatory guidelines/internal policies

Perform QA Reviews On:

- Planning documents (review scope, risk & control matrix)
- Fieldwork (test design, sampling, evidence adequacy)
- Issue identification and grading
- Final audit report consistency and clarity





Validate that Tester follow approved methodologies and documentation standards to ensure proper documentation and working papers are maintained for all the compliance reviews conducted. Ensure sampling is risk‑based and evidence is complete and traceable.

Suggest improvements to enhance test efficiency and recommend areas for automation to increase efficiency.

People Management Conduct workshops on documentation standards and testing quality.

Operating Networks Key interactions which are essential to execute the role. This will include both internal (excluding sub-ordinates) and external stakeholders.

Internal Chief Compliance Officer and Senior Management

External Regulators and External Auditors

Minimum Qualification Which Are Essential To Execute The Role. Education Essential: Post graduation – CA/MBA

Preferred: Experience Essential: 8+ years Preferred: Functional Competencies Functional / Behavioral Competencies Required To Execute The Role

- In depth knowledge of the regulatory environment for the banks in India particularly RBI.
- Positive knowledge of all the elements of Risk-based auditing (RBA), Control testing approaches, Sampling techniques, Workpaper standards, etc.
- Good interpersonal skills.
- Demonstrated ability to drive results and be very effective

📌 Compliance Testing - Quality Assurance - VP (Mumbai)
🏢 Yes Bank
📍 Mumbai