Compliance Governance & SOP Ownership

- Own and drive the end-to-end lifecycle of SOPs, policies, and control documents across Compliance, AML, Surveillance, and allied functions.
- Ensure documentation is regulator-aligned (SEBI, Exchanges, Depositories), operationally implementable, and audit-defensible.
- Establish standards for formats, version control, approvals, change management, and traceability.

Enterprise-Wide Process & Control Institutionalisation

- Act as the central governance layer to ensure critical business, operations, and risk processes are fully documented and controlled.
- Work closely with Business, Operations, Risk, Tech, AML, and Surveillance teams to identify gaps and strengthen control design.
- Ensure consistency between policies, SOPs, controls, and actual operating practices.

ERM & Risk Integration





- Support and strengthen the Enterprise Risk Management (ERM) framework across the organisation.
- Drive risk identification, documentation, and classification across operational, regulatory, technology, and business risks.
- Map SOPs and controls to risks to support Risk Registers, RCSA, and control assurance frameworks.
- Ensure alignment with the firm’s risk appetite and governance standards.

Technology & Automation Enablement

- Partner with Product and Technology teams to convert SOPs and policies into digital knowledge assets (bots, decision trees, FAQs, control workflows).
- Improve documentation quality to support automation, AI-assisted compliance, and scalable governance models.

📌 Senior Manager - Compliance Governance and Controls (Pune)
🏢 Bajaj Broking
📍 Pune