Executive - Operational Compliance & Escalation Management

Money View; Bengaluru; On-site; INR 500,000 - 750,000; Full time

Job summary

Money View in Bengaluru is seeking a diligent Compliance & Escalation Analyst to monitor collection practices across tele-calling, digital, and field operations, ensuring adherence to SOPs and regulatory requirements. You will manage escalations, support RCA investigations, and maintain robust compliance trackers.

Role involves agency oversight, cross-functional coordination, and production of regular MIS reports using Excel and reporting tools to enable data-driven process improvements.

Responsibilities

• Conduct regular monitoring of collection activities across tele-calling, digital, and field operations.
• Identify deviations from collection SOPs, internal policies, and applicable regulatory requirements.
• Maintain compliance observation and exception trackers.
• Support periodic compliance audits and quality reviews.
• Track customer and collection-related escalations received through various channels.
• Categorize escalations based on severity, issue type, portfolio, and agency.
• Coordinate with agencies and internal teams to collect required information and evidence.
• Ensure escalations are resolved within defined TATs.
• Collect and validate supporting documents such as call recordings, call logs, WhatsApp screenshots, field visit records, and other relevant evidence.
• Review agency RCA submissions and highlight gaps to the Lead.
• Maintain RCA and corrective action trackers.
• Follow up with stakeholders for pending RCA and action closure.
• Track agency-wise compliance observations and escalation trends.
• Monitor repeated breaches and highlight high-risk agencies.
• Support agency-level reviews and corrective action implementation.
• Maintain updated compliance and escalation records.
• Prepare daily/weekly/monthly compliance and escalation reports.
• Track escalation inflow, RCA status, TAT, proven/not-proven cases, repeat issues, and pending actions.
• Maintain dashboards and trackers using MS Excel and other reporting tools.
• Support management reporting with accurate and timely data.
• Identify recurring issues and highlight them to the Lead.
• Track implementation of corrective and preventive actions.
• Support process improvement initiatives based on complaint and escalation trends.

Job description

Key Responsibilities / KRAs

1. Compliance Monitoring

• Conduct regular monitoring of collection activities across tele-calling, digital, and field

operations.

• Identify deviations from collection SOPs, internal policies, and applicable regulatory

requirements.

• Maintain compliance observation and exception trackers.
• Support periodic compliance audits and quality reviews.

2. Escalation Management

• Track customer and collection-related escalations received through various channels.
• Categorize escalations based on severity, issue type, portfolio, and agency.
• Coordinate with agencies and internal teams to collect required information and

evidence.

• Ensure escalations are resolved within defined TATs.

3. RCA & Investigation Support

• Collect and validate supporting documents such as call recordings, call logs, WhatsApp

screenshots, field visit records, and other relevant evidence.

• Review agency RCA submissions and highlight gaps to the Lead.
• Maintain RCA and corrective action trackers.
• Follow up with stakeholders for pending RCA and action closure.

4. Agency Compliance Monitoring

• Track agency-wise compliance observations and escalation trends.

• Monitor repeated breaches and highlight high-risk agencies.
• Support agency-level reviews and corrective action implementation.
• Maintain updated compliance and escalation records.

5. Reporting & MIS

• Prepare daily/weekly/monthly compliance and escalation reports.
• Track escalation inflow, RCA status, TAT, proven/not-proven cases, repeat issues, and

pending actions.

• Maintain dashboards and trackers using MS Excel and other reporting tools.
• Support management reporting with accurate and timely data.

6. Preventive Action Tracking

• Identify recurring issues and highlight them to the Lead.
• Track implementation of corrective and preventive actions.
• Support process improvement initiatives based on complaint and escalation trends.