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 recent 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.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.

📌 Senior Manager Branch Compliances Mumbai (India)
🏢 AU Small Finance Bank
📍 India