Job Title: Manager Compliance
Department: Compliance
Location: Worli
Reports to: [AVP Compliance]
Experience: 6-8 years in financial services compliance, preferably in NBFCs, Banks, or similar institutions

Job Summary
We are seeking a proactive and detail-oriented professional to join our Compliance team as Senior Manager. The role will primarily focus on Compliance Testing and Compliance Risk Assessment, ensuring adherence to regulatory expectations and internal policies across all business verticals.

Key Responsibilities
1. Compliance Testing
Design, plan, and execute periodic compliance testing programs across business functions
Identify and assess compliance control gaps through on-site or remote testing
Document findings with root cause analysis and recommend corrective actions
Follow up on the implementation of corrective actions and ensure timely closure
Prepare testing reports for senior management and regulatory reviews

2. Compliance Risk Assessment (CRA)
Conduct regular compliance risk assessments across retail and wholesale lending businesses
Identify inherent and residual compliance risks across business lines, processes, and geographies
Maintain and update the compliance risk universe and risk register

3. Regulatory Internal Coordination




Liaise with internal stakeholders to ensure implementation of compliance testing outcomes and risk mitigation plans
Support the Compliance team in aligning testing and CRA outcomes with regulatory expectations
Stay abreast of regulatory developments and integrate them into testing and risk assessment frameworks

4. Reporting Governance
Contribute to dashboards, MIS, and presentations for senior management, Audit Committee, and Board
Assist in periodic updates to the Compliance Function s annual plan, especially around testing and CRA activities

Desired Profile
Bachelors/Master s degree in Commerce, Law, Finance, or related field
6-8 years of experience in Compliance or Internal Audit roles in financial services
Strong knowledge of RBI regulations applicable to NBFCs/Banks
Experience in conducting compliance testing or risk assessments preferred
Analytical mindset with attention to detail and robust documentation skills
Effective communication and stakeholder management abilities

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.

📌 Manager:Compliance_AFL (Mumbai)
🏢 Axis Finance (AFL)
📍 Mumbai