Compliance Manager

1. Formulation of Compliance testing plan and put up to Compliance Head for approval
2. Conduct Compliance Testing as per Compliance test Plan
3.Coordination with various stakeholders for required information/reports as per frequency defined in the plan
4. Conduct discussions with business owners with respect to gaps/breaches identified during testing
5.Preparation of Audit Commitee slides for presenting the Compliance test results
6. Regular follow-up on the open actionable as a result of Compliance testing with business owners
7. Ensure closure of the actionable and present monthly tracker to the Compliance Head and MD &CEO
8. Submission of Test Results with Parent Company 's Compliance department
9.Conduct Sustenance testing of Regulator's observations
10. Preparation of Presentation on Sustenance testing results and place before MD & CEO on quarterly basis
11.Obtain self-certification from various departments on quarterly basis ona applicable regulations