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Role Overview:
The Legal and Compliance Test Manager will be responsible for planning, executing, and managing control testing and monitoring activities to assess compliance with regulatory requirements and internal policies. The role involves working closely with Compliance, Risk, and Audit teams to ensure an effective control environment across Client businesses and functions.
Key Responsibilities:
- Develop and implement the annual compliance testing plan in line with global and regional compliance objectives.
- Lead testing and monitoring reviews across multiple business units to identify control gaps, policy breaches, and regulatory risks.
- Design test scripts and procedures to assess compliance controls and adherence to legal obligations.
- Prepare comprehensive reports summarizing findings, risk assessments, and recommendations for remediation.
- Track and validate corrective actions arising from audit and compliance reviews.
- Partner with Legal, Compliance Advisory, and Business stakeholders to ensure testing coverage aligns with risk priorities.
- Maintain strong awareness of regulatory developments (SEBI, RBI, FCA, MAS, etc.) and their impact on testing programs.
- Contribute to automation and standardization of testing methodologies and documentation.
- Support regulatory inspections and internal audits with required evidence and reports.
Location : Mumbai must.
Notice Period : Immediate to 30 days only.
Experience : 8-12 Years
Required Skills and Qualifications:
- Graduate / Postgraduate in Law, Finance, or related field; certifications like CIA, CISA, CAMS, or Compliance Diploma are a plus.
- 8–12 years of relevant experience in Compliance Testing, Internal Audit, or Risk Management within an investment bank or financial institution.
- Strong knowledge of regulatory compliance frameworks (MiFID, SEBI, FATCA, AML, etc.).
- Excellent analytical, documentation, and report-writing skills.
- Experience working with global teams and managing multiple testing streams simultaneously.
- Proficiency in Excel, Power BI, or other data analysis tools preferred.
- Strong communication and stakeholder management skills.
Note: Pls do not apply if the location, NP and experience range is not matching.
Click here to apply and for Official Notification
