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 (India)
🏢 Bajaj Broking
📍 India