Senior Manager Branch Compliances

AU Small Finance Bank; Mumbai; Sur place; INR 700 000 - 1 100 000; Plein temps

Résumé du poste

AU Small Finance Bank is seeking a Branch Compliance role to conduct video-based monitoring and virtual audits across India. You will assess adherence to RBI regulations, internal policies, and SOPs, while coordinating with Branch Managers and Audit teams to close observations.

The position involves preparing dashboards, tracking observations, and escalating high-risk issues to authorities when needed. Regulatory inspections and ongoing compliance support are part of the role.

Responsabilités

• Conduct branch compliance reviews via video-based monitoring and virtual audits.
• Assess adherence to RBI regulations, internal policies, SOPs and operational controls.
• Evaluate branch processes related to account opening, customer onboarding, KYC documentation, cash management, and customer service.
• Verify compliance with RBI regulations and organizational guidelines.
• Coordinate with Branch Managers, Operations Teams, Audit Teams and Regional Heads to close observations.
• Prepare compliance dashboards, review trackers, and management MIS; analyze trends in branch observations.
• Escalate high-risk issues to authorities when unresolved or critical.

Connaissances

Compliance reviews

Regulatory knowledge

KYC/AML

Stakeholder management

MIS analytics

Audit support

Description du poste

Key Responsibilities

• Branch Compliance Reviews
  • 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.
• Monitoring Surveillance
  • 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.
• Reporting Closure Tracking
  • 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.
• Regulatory Policy Compliance
  • 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.
• Stakeholder Management
  • 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.
• MIS Analytics
  • Prepare compliance dashboards, review trackers, and management MIS.
  • Analyze trends in branch observations to identify recurring issues.

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