AVP/Senior Manager - C&R

Working within the Compliance & Risk (C&R) function, the AVP/Senior Manager is accountable for the end-to-end delivery AML/KYC delivery, governance, performance, and continuous improvement of Compliance & Risk services delivered through the Mumbai Global Capability Centre (GCC). The role acts as the leader across multiple Compliance & Risk processes and is responsible for ensuring consistent, high-quality service delivery aligned to business requirements, regulatory expectations, operational risk standards, and agreed service levels.

Below are the areas of C&R Services delivered in Mumbai

• Corporate Due Diligence
• Sanctions & PEP Screening
• Transaction Monitoring
• Suspicious Activity Reporting
• Fraud Investigation

The role partners closely with the Head of C&R GCC, global stakeholders, and business to drive operational excellence, capacity planning, performance management, process optimization, and people development. The incumbent is expected to lead managers, team leads, and operational teams while fostering a culture of accountability, customer focus, compliance, and continuous improvement.

The AVP/Senior Manager serves as deputy to the Head of C&R GCC and assumes responsibility for departmental leadership, decision-making, governance, and stakeholder management during periods of absence.

Enhanced Key Accountabilities

Operational Leadership & Service Delivery

• Lead and manage the end-to-end delivery of Compliance & Risk services performed within the Mumbai Global Capability Centre (GCC).
• Maintain full accountability for performance, service quality, productivity, controls, and risk management across assigned functions.
• Ensure all activities are delivered in accordance with documented policies, procedures, regulatory requirements, SOPs, and service level agreements (SLAs).
• Direct the internal investigation of compliance issues
• Conduct periodic internal reviews or audits to ensure that compliance procedures are followed
• Drive a culture of operational excellence and maintain consistently high standards of service delivery across all processes.
• Monitor workflow volumes, work allocation, capacity utilisation, and workforce planning to ensure business demands are met efficiently.
• Take ownership of service delivery risks, operational issues, and escalations, ensuring timely resolution and appropriate stakeholder communication.
• Mitigate service delivery risks
• Ensure business continuity and resilience through effective resource planning, succession planning, and cross-training initiatives.

KPI, SLA & Performance Management

• Own, monitor, and report on KPIs, SLAs, quality metrics, turnaround times, productivity measures, and performance outcomes.
• Implement corrective actions where performance falls below agreed targets and drive sustainable improvements.
• Establish robust governance frameworks to monitor service performance and identify opportunities for efficiency gains.
• Prepare and present operational performance reports, management information (MIS), dashboards, and executive updates to senior leadership.

Process Improvement & Transformation

• Lead continuous improvement initiatives to enhance efficiency, quality, scalability, automation, and customer experience.
• Identify process gaps, control weaknesses, risks, and improvement opportunities across Compliance & Risk operations.
• Drive standardisation, simplification, documentation, and optimisation of operational processes.
• Sponsor and support transformation, automation, and strategic projects that improve business outcomes and operational effectiveness.
• Ensure SOPs, process maps, controls, and operational documentation remain current, accurate, and fit for purpose.

People Leadership & Talent Management

• Lead, coach, and develop managers, team leads, and operational teams to achieve individual and departmental objectives.
• Build a high-performing culture through effective performance management, talent development, succession planning, and employee engagement.
• Conduct performance reviews, development discussions, coaching sessions, and regular feedback conversations.
• Ensure appropriate staffing levels, resource allocation, and team capability to meet operational demands.
• Promote accountability, collaboration, professionalism, and continuous learning across all levels of the function.
• Create development pathways for future leaders within the GCC structure.

Governance, Compliance & Risk Management

• Ensure adherence to internal policies, external regulations, and Compliance & Risk standards.
• Conduct and oversee internal reviews, quality assurance activities, control assessments, and operational audits.
• Direct and support investigations relating to compliance breaches, operational incidents, or process failures.
• Escalate significant risks, issues, and regulatory concerns appropriately while driving remediation activities.
• Provide reasoned recommendations supported by robust evidence and documented rationale for approvals and sign-off decisions.

Stakeholder Management

• Develop effective working relationships with Global Compliance & Risk teams, senior business leaders, and operational stakeholders.
• Serve as a trusted partner and subject matter expert on operational, compliance, and risk-related matters.
• Provide clear, concise, and professional communication to stakeholders at all levels.
• Support global initiatives, strategic priorities, and cross-functional projects as required.

Deputy Head of Function Responsibilities

• Act as the back-up and deputy for the Head of C&R GCC.
• Assume leadership responsibility for departmental operations, governance, stakeholder engagement, people management, and decision-making during the Head's absence.
• Support strategic planning, operating model development, workforce planning, budget discussions, and GCC growth initiatives.

Flexibility & Global Support

• Demonstrate flexibility to support global operations across multiple time zones.
• Work extended hours or shifts where business requirements necessitate global coverage.
• Ensure seamless service delivery and stakeholder support across regional and international teams.

Enhanced Experience & Personal Qualities

Operational Excellence

• At more than 9 -10 years of experience including more than 8 years Subject Matter Expertise in Compliance & Risk domain covering Due Diligence, Sanction Screening, Transaction Monitoring, Suspicious Activity Reporting & Fraud Investigation would be advantageous
• Knowledge on FATF guidelines, Sanctions, Scenarios and red flags related to AML, global AML regulatory framework
• AML certifications like – CAMS, CFCS, CFE, ICA, etc – not mandatory however would be advantageous.
• Strong understanding of KPI management, SLA governance, workforce planning, capacity management, and service delivery frameworks.
• Demonstrated experience leading process improvement, automation, and transformation initiatives.
• Ability to identify operational efficiencies and implement scalable solutions.

Leadership & Management

• At least 6-7 years of experience managing managers, team leads, and operational teams within a shared services or Global Capability Centre environment. (Managed a team of at least 10 and above)
• Demonstrated success leading end-to-end service delivery functions and driving operational excellence.
• Strong people leadership, coaching, mentoring, and performance management skills.
• Experience creating high-performing teams and developing future leadership talent.

Communication

• Excellent spoken and written English with the ability to communicate effectively across all organisational levels, including senior leadership.
• Strong presentation, stakeholder engagement, and influencing skills.

Personal Attributes

• Strong sense of ownership, accountability, and personal responsibility.
• Results-driven with a commitment to delivering exceptional customer and stakeholder outcomes.
• Highly adaptable and able to work effectively in fast-paced, evolving environments.
• Strong decision-making, analytical thinking, and problem-solving capabilities.
• Resilient, proactive, and able to manage competing priorities while maintaining high standards of quality and service delivery.