Senior Manager - Compliance Governance and Controls

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.