Key Responsibilities:-

1. Ensure adherence and timely implementation of regulatory / internal / operational guidelines, including reviewing of SOPs, to make them effective tool to ensure compliance
2. 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
3. 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
4. Ensure comprehensiveness of PMC / CMC proposals (i.e. current products, processes) being placed for approval to PMC / CMC Committee by the Department / Unit
5. 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
6.



Drive initiatives and actionable under the framework of assessment of compliance culture & risk culture.
7. 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:

- Strong 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)
- Strong 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.

📌 Compliance & Risk Officer Compliance & Risk Officer (Mumbai)
🏢 Axis Bank
📍 Mumbai