Gaurav Metha
Pune,
Summary
Motivated MBA graduate specialized in finance, with expertise in compliance risk management, regulatory compliance, and governance. Proven ability to enhance compliance auditing and stakeholder management, driving strategic initiatives that ensure regulatory alignment and operational efficiency.
Overview
6
6
years of professional experience
Work History
Senior Manager (Compliance Governance)
Axis Bank Corporate Office
Mumbai
07.2021 - Current
- Leading strategic changes in SAS EGRC – Governance Compliance Manager (GCM) by collaborating with the Axis Bank IT team and PWC as technical consultants to ensure alignment with regulatory requirements.
- Developed detailed Business Requirement Documents (BRDs) and conducted User Acceptance Testing (UAT) to streamline system workflows, create a Compliance Testing module, a self-identification of issues module, MANCOM-level Dashboards, a Senior Management Unified Dashboard, and a module to enhance end-to-end tracking of regulatory circulars.
- Updated the process and methodology of the Compliance Risk Index Calculation as per regulatory observations. Successfully conducted Compliance Risk Assessment (CRA) in alignment with the latest framework, ensuring precise representation of Compliance Risk Index.
- Effectively utilize SAS EGRC software for comprehensive risk and control management, including data input, updating user manuals, report generation, dashboard preparation, and tracking compliance activities within the organization.
- Review compliance submissions for presentation to key stakeholders, including the Board, the Audit Committee of the Board (ACB), and Management Committee Members (MANCOM). Involves synthesizing important agenda points into a composite format.
- Efficiently managed agenda points for Board and ACB review, including evaluating the Bank's compliance culture, monitoring persistent issues, and tracking the Action Taken Report (ATR) to track and manage compliance-related incidents, facilitating informed decision-making by the Board and ACB.
- Managed ad-hoc regulatory and governance initiatives, including designing and delivering training programs for CARO coordinators and compliance officers on governance frameworks, SAS EGRC tools, and compliance processes.
- Handled internal audits, RBI onsite audits, external audits, and independent assessments, such as the Quality Assurance and Improvement Program (QAIP) related to compliance governance, ensuring timely responses, documentation, and closure of observations.
- Managed external and internal reviews of the Compliance Risk Assessment (CRA) Model, ensuring regulatory alignment and accuracy in risk identification, scoring, and reporting.
Junior Research Analyst Intern
Hedge Equities Ltd
04.2020 - 05.2020
- Conducted fundamental analysis of banks, including EIC analysis, to forecast financial statements and valuation targets for FY 21 and FY 22
Education
PGDM Finance - CGPA: 5.45/8.0
Goa Institute of Management (GIM)
06-2021
B. E Mechanical - Percentage: 70%
Pune University
06-2016
Skills
- Risk management
- Regulatory compliance
- Compliance auditing
- Process optimization
- Project management
- Communication and interpersonal skills
- Microsoft Office Suite
Languages
English
Advanced (C1)
C1
Hindi
Upper Intermediate (B2)
B2
Gujarati
Upper Intermediate (B2)
B2
Marathi
Upper Intermediate (B2)
B2
Skills
- Risk management
- Regulatory compliance
- Compliance auditing
- Process optimization
- Project management
- Communication and interpersonal skills
- Microsoft Office Suite
Accomplishments
Certificate of Appreciation for demonstrating exceptional dedication, perseverance, and hard work, significantly contributing to the overall performance of the Compliance Department, Axis Bank, FY 23-24.
Timeline
Senior Manager (Compliance Governance)
Axis Bank Corporate Office
07.2021 - Current
Junior Research Analyst Intern
Hedge Equities Ltd
04.2020 - 05.2020
PGDM Finance - CGPA: 5.45/8.0
Goa Institute of Management (GIM)
B. E Mechanical - Percentage: 70%
Pune University