Axis Finance | Manager:Compliance_AFL

Key responsibilities

• We are seeking a proactive and detail-oriented professional to join our Compliance team as Senior Manager.
• The role will primarily focus on Compliance Testing and Compliance Risk Assessment, ensuring adherence to regulatory expectations and internal policies across all business verticals.
• Design, plan, and execute periodic compliance testing programs across business functions.
• Identify and assess compliance control gaps through on-site or remote testing.
• Prepare testing reports for senior management and regulatory reviews.
• Conduct regular compliance risk assessments across retail and wholesale lending businesses.
• Identify inherent and residual compliance risks across business lines, processes, and geographies.
• Maintain and update the compliance risk universe and risk register.
• Liaise with internal stakeholders to ensure implementation of compliance testing outcomes and risk mitigation plans.
• Support the Compliance team in aligning testing and CRA outcomes with regulatory expectations.
• Contribute to dashboards, MIS, and presentations for senior management, Audit Committee, and Board.
• Assist in periodic updates to the Compliance Function’s annual plan, especially around testing and CRA activities.
• Reports to: [AVP – Compliance]
• Document findings with root cause analysis and recommend corrective actions
• Follow up on the implementation of corrective actions and ensure timely closure

Desired profile

• Experience: 6-8 years in financial services compliance, preferably in NBFCs, Banks, or similar institutions.
• Strong knowledge of RBI regulations applicable to NBFCs/Banks.
• Experience in conducting compliance testing or risk assessments preferred.
• Analytical mindset with attention to detail and strong documentation skills.
• Effective communication and stakeholder management abilities.
• Effective communication and stakeholder management abilities Immediate Joiners are preferred.
• 6-8 years of experience in Compliance or Internal Audit roles in financial services

Axis Finance

Axis Finance is an employer hiring in India (sector: BFSI / Investments / Insurance). In its own words: "Axis Finance offers personal, business, and loan solutions designed to help you achieve your financial goals."

CA Samaaj lists Axis Finance's current India openings for finance, accounts, audit and tax professionals, taken from its official careers site (axisfinance.ripplehire.com) and checked regularly to remove closed jobs. Recent roles are based in Mumbai.

• Industry: BFSI / Investments / Insurance