Job Description:

WBO:CCMO-Compliance & MIS-Head
INTERNAL USAGE:
No. of Vacancies: Reports to: Head CCM)
Is a Team leader? Y Team Size: 3
Grade: Assistant Vice President
Business: Corporate Centre Department:� Wholesale Banking Operations Sub-Department: CCMO
Location: NPC I, Airoli, Navi Mumbai
About

Explain:

� The function of the department � The department handles operations and compliance relating to Bank as a SEBI registered Depository Participant of CDSL and NSDL.

� Importance and contribution towards the organization � All operations are centralized and handled by the Department. Department official is the designated Compliance Officer for SEBI/NSDL/CDSL.
About the Role

Why does the role exist?

To handle Compliance related to Depository Services (SEBI/NSDL/CDSL) which includes regulatory filing, regulatory correspondence, internal compliance, circular issuance, etc. Act as a Nodal Compliance Officer for the department.

What is its contribution towards the organization?

Ensure that the Bank is compliant with all SEBI/CDSL/NSDL compliance requirements and other internal compliance requirements.

What is the size of the operation the position manages and supports?

3 staff
Key Responsibilities

� To act as Nodal Compliance Officer for the Depository Services department

� Ensure compliance of all regulatory / internal guidelines including regulatory periodic filing, reply to regulatory letters / circulars within the deadline time specified by the regulator.

� Handle directives received from statutory authorities

� Prepare circulars for issuance to Branches

� Handle inspection of SEBI / NSDL / CDSL, ensure compliance of observations made by the SEBI / NSDL / CDSL inspection team,



draft compliance notes / letters regarding submission of inspection observation compliance to SEBI / NSDL / CDSL before the deadline time specified by them.

� Coordinate with Branches for regulatory inspections (NSDL / CDSL)

� Co-ordinate with concurrent / internal auditors for completion of audit and ensure that any adverse findings are communicated to Branches and follow-up with branches / other department sections is done for concurrent audit compliance. Incorporate Management Comments in the report.

� Prepare Agenda for Audit Committee Meetings

� Ensure prompt resolution of investor queries / grievances and maintenance of database / records as per the regulatory requirements.

� Guide other Sections of the Department on operational compliance like Account Opening Section, Account Maintenance Section, etc.

� Suggest and implement new initiatives
Qualifications

Optimal qualification for success on the job is:

� Qualification - B.Com., PGDBM (Finance) (Equivalent to MBA)

� Experience � 21 years

Role Proficiencies:

For successful execution of the job, a candidate should possess the following:

� Knowledge

(Knowledge of operations of CDSL and NSDL

Knowledge of SEBI, CDSL and NSDL compliance requirements

Knowledge of Depository Act, 1996, The SEBI (Depositories and Participants) Regulations, 1996, The Bye Laws and Business Rules of NSDL & CDSL, Directives / Circulars / Guidelines issued by SEBI,



NSDL/CDSL from time to time

� Skills

(Good communication (both verbal & written) and inter-personal skills

� Good skills of liaisoning with regulators and various various statutory authorities

� Abilities

(Ability to work effectively across functions and demonstrated ability to coach and mentor others

Ability to manage risk and uncertainty for self and team within a dynamic priority-setting environment

Ability to prioritize and make decisions in a fast-paced setting

Ability to work as a part of team and contribute towards team goals

Ability to manage multiple tasks/projects and deadlines simultaneously

Ability to conceptualize and implement compliance culture with a view to ensure Bank is compliant with all SEBI/CDSL/NSDL regulations)

Skills:

Refer to the Job Description

About Company:

Axis Bank is the third largest private bank in India, serving ~59 million customers with a workforce of over 104,400 employees as on March 31, 2025. The Bank offers the entire spectrum of financial services to customer segments covering Large and Mid-Corporates, MSME, Agriculture and Retail Businesses. As on March 31, 2025, The Bank has a large footprint of 5,876 domestic branches, 13,941 ATMs and cash recyclers, with close to 47% branches in rural and semi-urban region. The Bank's overseas operations encompass eight international offices, including branches in Singapore, Dubai (at DIFC), and Gift City-IBU. There are also representative offices in Dhaka, Dubai, Abu Dhabi, and Sharjah. The international offices focus on Corporate Lending, Coverage Business, Trade Finance, Syndication, Investment Banking, Liability Businesses, and Private Banking/Wealth Management offerings.

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