VP - Compliance Testing & Regulatory Compliance

1. Compliance Testing & Review Execution

• Perform endtoend compliance testing reviews as per the annual Compliance Testing Plan.
• Develop detailed test plans, sampling criteria, and testing scripts for each review.
• Conduct walkthroughs of processes to understand regulatory requirements, controls, and risks.
• Test the design and operating effectiveness of compliance controls across business functions.
• Document test results, observations, evidence, and deviations in a structured manner.

2. Reporting & Issue Management

• Draft highquality testing reports summarizing observations, risks, and noncompliances.
• Work with business teams to obtain management responses and agreed action plans.
• Track implementation of corrective actions and validate closure of compliance issues.
• Escalate highrisk findings to senior compliance management as needed.

3. Regulatory & Policy Compliance

• Evaluate business and operational processes for adherence to regulatory guidelines, internal policies, and industry standards.
• Support thematic reviews triggered by new regulations, emerging risks, or compliance incidents.
• Assist in identifying regulatory gaps and recommending remediation measures.

4. Risk Assessment & Control Evaluation

• Assist in updating the compliance risk assessment by analyzing testing results and new emerging risks.
• Identify weak controls, recurring issues, and potential systemic failures.
• Provide inputs to strengthen the compliance controls library.

5. Data & Documentation Management

• Maintain complete testing documentation, evidence, working papers, and trackers for audits and inspections.
• Support automation of testing workflows and usage of compliance tools and systems.

6. Stakeholder Collaboration

• Coordinate with operations, business, legal, audit, and risk teams to gather process knowledge and testing data.
• Communicate testing schedules, expectations, and evidence requirements clearly.
• Participate in meetings and discussions relating to compliance remediation.