Key Responsibilities:-
Ensure adherence and timely implementation of regulatory / internal / operational guidelines, including reviewing of SOPs, to make them effective tool to ensure compliance
Ensure sustenance check of regulatory guidelines implemented, responses submitted under Risk Assessment Report (RAR) / Risk Mitigation Plan (RMP), Tranche III and any other critical areas identified by Compliance, Risk and Internal Audit Departments and improvement in Tranche III Score of the Department / Unit
Timely submission of responses to RAR / RMP / internal audit or testing reports and ensure quality and comprehensiveness of the responses to eliminate requirements of resubmission
Ensure comprehensiveness of PMC / CMC proposals (i.e. recent products, processes) being placed for approval to PMC / CMC Committee by the Department / Unit
Timely closure of Compliance Issues in GCM / Operational Risk Issues / Internal Audit Issues, no legacy pendency and no persisting issues pendency for redressal for longer time




Drive initiatives and actionable under the framework of assessment of compliance culture & risk culture.
Report incident and operational errors, ensuring timely and comprehensive RCAs are done to avoid recurrence of observations.

Qualifications

Optimal qualification for success on the job:
Graduation / Post Graduation from a recognized institute.
Experience in Risk Management and/or Regulatory Compliance would be preferred

Role Proficiencies

For successful execution of the job, a candidate should possess the following:
Solid communication (both verbal and written) and inter-personal skills
Ability to engage and work with leaders at all levels, specifically with Assurance Functions (Operational Risk, Compliance and Internal Audit)
Robust time management skills with the ability to handle pressure and meet strict deadlines
Exceptional attention to detail is required for this role

Experience in areas of governance - related to regulatory matters and Board Committees would be a plus.

Refer to the

📌 Retail Lending: Team Member Compliance Assurance & Risk Oversight Caro Mumbai
🏢 Axis Bank
📍 Mumbai