Lead Compliance Testing
YES BANK
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Keywords
Job Description
Compliance Testing Lead
Reporting To
Compliance Testing Head
Grade/ Level
G6
Purpose Of The Role
A two-to-three-line statement outlining the objective or the reason for which the job exists.
Ensure that all the key regulations / notifications and process notes are covered in the checklist and the checklist is updated simultaneously along with the review.
Key Responsibilities & Kpis Of The Role
A two-to-three-line statement outlining the objective or the reason for which the job exists.
Ensure that all the key regulations / notifications and process notes are covered in the checklist and the checklist is updated simultaneously along with the review.
Responsibilities
Strategy and Planning
Assess audit universe, risk assessment methodology, and annual audit plan to ensure adequacy of review coverage aligning with bank’s risk profile. To ensure risk ratings and audit prioritization are justified and consistently applied.
Policies, Processes & Procedures
Preparation and updating of Compliance Testing framework and review checklists in line with the regulatory guidelines/internal policies
Perform QA Reviews On:
- Planning documents (review scope, risk & control matrix)
- Fieldwork (test design, sampling, evidence adequacy)
- Issue identification and grading
- Final audit report consistency and clarity
Ensure sampling is risk‑based and evidence is complete and traceable.
Suggest improvements to enhance test efficiency and recommend areas for automation to increase efficiency.
People Management
Conduct workshops on documentation standards and testing quality.
Operating Networks
Key interactions which are essential to execute the role. This will include both internal (excluding sub-ordinates) and external stakeholders.
Internal
Chief Compliance Officer and Senior Management
External
Regulators and External Auditors
Minimum Qualification Which Are Essential To Execute The Role.
Education
Essential: Post graduation – CA/MBA
Preferred:
Experience
Essential: 8+ years
Preferred:
Functional Competencies
Functional / Behavioral Competencies Required To Execute The Role
- In depth knowledge of the regulatory environment for the banks in India particularly RBI.
- Good knowledge of all the elements of Risk-based auditing (RBA), Control testing approaches, Sampling techniques, Workpaper standards, etc.
- Good interpersonal skills.
- Demonstrated ability to drive results and be very effective
About The Company
YES BANK
YES BANK is a leading Indian private sector bank committed to transforming the financial landscape of India. With over 1200 branches nationwide and a dedicated team of YES BANKers, we strive to deliver exceptional banking solutions and empower individuals, businesses and communities to thrive. At YES BANK, we believe in the power of innovation and transparency. Operating in Retail, MSME and Corporate banking sectors, we are a full service bank and offer an extensive range of financial services. We leverage cutting-edge technology & industry insights to meet the evolving needs of our diverse clientele. One in three UPI transactions in the country are processed by YES BANK. Driven by our core values, we aim to build long lasting relationships with our customers and stakeholders. Our robust risk management framework ensures the safety and security of your finances, while our unwavering commitment to sustainability drives us to create a positive impact on society and the environment. We recognize the potential within each person and strive to unlock it through opportunities for growth, learning and innovation. Joining our ranks means joining a vibrant ecosystem of individuals who are passionate about making an impact and shaping the future of banking. Together, let’s create a future where your dreams can flourish and make a lasting impact. Note: YES BANK will NEVER ask you to reveal your User ID or Password. Therefore, never disclose your credentials (User ID, Password, OTP, PIN etc.) to anyone either through mail or over phone. If you receive any mail asking you to update or authenticate your User ID or Password, please DO NOT fall into the trap of putting in your Password or OTP or PIN.
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