Reporting to the Global Head of Risk & Compliance, the Compliance & Risk Manager is responsible for maintaining, improving and updating the group's compliance and risk-management framework across SmartStream's managed services, SaaS and product delivery organisations. The role monitors regulatory and client compliance obligations, oversees control design and testing, and partners with business, technology and operations teams to identify, assess and mitigate risks. The Manager acts as a delegate of the Global Head of Risk & Compliance in his/her absence, representing the function in internal governance forums and with clients, regulators and external auditors.

Job Responsibilities

Maintain, continuously improve and update the enterprise compliance framework, control library, Enterprise Risk Register and supporting policies and procedures, in line with industry best practice

Maintain a master control list with clearly written failure points, key controls and testing procedures that effectively address compliance, operational and technology risks

Conduct periodic compliance and control assessments across business units, managed services and product delivery; document findings and drive remediation to closure

Ownership of SmartStream's Attestation program - undertake risk assessments, gap analysis and control mapping against regulatory and client obligations (DORA, SOC 1/2/3, ISO 27001, ISO 22301, C5, PCI-DSS, GDPR, ANZ/APAC regulations)

Maintain and improve governance dashboards and management reporting; maintain and improve governance cadence to drive closure of open findings, actions and incidents

Prepare and present compliance and risk updates at executive and client governance forums

Act as the primary interface between internal teams,



internal audit, external auditors and clients; compile and prepare supporting artefacts and evidence

Respond to customer RFPs, RFIs and due-diligence questionnaires on compliance, risk and control posture

Conduct contract reviews for compliance, risk and regulatory obligations; partner with procurement on the third-party risk management programme

Engage with broader operations and technology teams to identify process gaps and design controls to mitigate and monitor them

Perform ad-hoc audit and risk projects in response to emerging risks, regulatory changes and management requests

Deputise for the Global Head of Risk & Compliance in internal forums and client meetings as required

Very robust knowledge of financial industry attestations, including at least 3 of the 5 SmartStream attestations: SOC 1/2/3, ISO 27001, ISO 22301, C5, PCI-DSS, plus DORA, GDPR, and ANZ/APAC regulations

Very strong background in compliance audit, control design, gap and risk assessment, and mitigation planning

Deep experience of operating a GRC framework and control-testing cycle in a regulated financial-services or fintech environment

Excellent stakeholder engagement with proven ability to communicate effectively at all levels, including executive and client forums

Strong written and verbal communication; able to produce executive-quality compliance and risk decks





Advanced MS Excel (pivots, lookups, large data sets) and strong PowerPoint skills for governance reporting

Analytical with solid problem-solving skills; able to identify hot spots, assess impact and propose tactical and strategic controls

Ability to multi-task, prioritise and deliver in a rapidly changing environment with tight deadlines

Client focus, priority setting, integrity and trust; self-starter with a strong sense of accountability

Experience working with or delegating for a senior risk/compliance leader Requirements Compliance certification from a reputed organisation or university (e.g., CAMS, ICA, CCEP)

Risk/audit certifications such as CISA, CRISC, CIA or CISM

Lean Six Sigma (Green / Black Belt) and process-improvement experience

Exposure to SAP or another ERP platform; working knowledge of SQL

Prior experience in post-trade, payments, capital markets, treasury or fund-services fintech

Agile / project-management experience

Flexibility to work global hours with limited in-country travel Benefits 10+ years of total experience with a focus on compliance, risk assessment, controls and audit in financial services, fintech or a regulated BPM environment

Proven track record of designing and operating compliance frameworks and control libraries

3+ years leading a compliance/risk workstream, squad or small team

Hands-on experience in compliance assessments, internal audits, client due-diligence and regulatory reporting

Experience partnering with technology, operations and product teams to embed controls into business processes

Knowledge of IT general controls, SDLC and third-party risk management is an advantage

📌 Compliance & Risk Manager (Bengaluru)
🏢 SmartStream
📍 Bengaluru