Team Member Compliance Testing

Role & responsibilities

• Execute risk-based compliance testing as per the approved Compliance Testing Plan.

• Prepare testing scope, test procedures and sampling methodology.

• Review processes, system controls and documentation against regulatory requirements.

• Validate compliance through testing of samples and supporting evidence

• Prepare clear, evidence-based compliance observations.

• Perform root cause analysis and assess regulatory impact.

• Draft testing reports with practical recommendations.

• Maintain complete testing workpapers and documentation..

Preferred candidate profile

CA with 2-4 yrs exp in Compliance testing in NBFC / Bank