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Tier-1 bank, director-level compliance role in metro Mumbai with generalist compliance skills increases applicant competition.
Role requires industry-specific compliance and regulatory knowledge, limiting cross-industry transferability.
Mandatory 5+ years and financial-industry compliance experience make filtering stringent.
Lead and execute risk-based compliance reviews across Wealth Management businesses including E*TRADE, overseeing end-to-end testing and reporting.
Develop test plans, conduct detailed walkthroughs of control processes, evaluate risks, and draft clear findings and test reports for senior management.
Track and validate corrective action plans to ensure remediation of identified compliance issues and maintain relationships with Business, Compliance, Legal, and Risk teams.
Minimum 5+ years' experience in a financial institution or consulting firm, preferably in compliance, risk management, or audit.
Bachelor's Degree or higher required.
Must be proficient in Microsoft Office (Excel, Word, PowerPoint) and have ability to perform data analysis.
Coverage requirement Monday to Friday 11:30 AM to 8:30 PM India time, with flexibility during some Indian holidays.
Experienced in compliance testing with strong skills in risk identification and testing protocol development within financial services.
Able to lead detailed control walkthroughs, assess issues for root causes, and communicate findings effectively to senior management.
Comfortable working independently with strong organizational skills and the ability to handle fast-paced, deadline-driven environments.