About the role
- Conduct compliance reviews of branches across India through video-based monitoring and virtual audits.
- Assess branch adherence to regulatory requirements, internal policies, SOPs, and operational controls.
- Evaluate branch processes relating to account opening, customer onboarding, KYC documentation, cash management, and customer service.
- Verify compliance with RBI regulations and organizational guidelines.
- Monitor branch activities through live and recorded video reviews.
- Identify potential compliance breaches, operational lapses, policy deviations, and fraudulent activities.
- Perform thematic reviews based on emerging risks and regulatory concerns.
- Ensure branches follow prescribed security and operational standards.
- Prepare detailed compliance review reports with observations and risk ratings.
- Highlight critical findings to concerned stakeholders and management.
- Track closure of observations and corrective action plans.
- Escalate unresolved or high-risk issues to relevant authorities.
- Ensure compliance with RBI, FIU-IND, KYC/AML, PMLA, and internal regulatory requirements.
- Support implementation of new regulatory guidelines across branch networks.
- Review effectiveness of compliance controls and recommend improvements.
- Coordinate with Branch Managers, Operations Teams, Audit Teams, and Regional Heads for closure of observations.
- Conduct awareness sessions and compliance guidance for branch staff.
- Support regulatory inspections, audits, and compliance assessments.
- Prepare compliance dashboards, review trackers, and management MIS.
- Analyze trends in branch observations to identify recurring issues.