Compliance Testing & Assurance

- Execute compliance testing and assess adherence to regulatory requirements, internal policies, and control frameworks.

- Evaluate design and operating effectiveness of controls and identify compliance gaps or weaknesses.

- Document observations, track remediation actions, and coordinate closure with stakeholders.

- Analyze data and prepare reports to support compliance reviews and monitoring activities.

Regulatory Change Management (RCM)

- Monitor regulatory developments issued by RBI and other financial sector regulators.

- Assess regulatory impact and support implementation of recent regulatory requirements across business functions.

- Track implementation status and perform validation testing to ensure compliance.

- Assist in preparing regulatory advisories, management notes, and stakeholder communications.

RBI Inspection & Regulatory Coordination





- Support RBI onsite/offsite inspections and supervisory reviews.

- Coordinate submission of information, responses, and documentation required by regulators.

- Assist in tracking inspection observations, PRAR, RAR, PRMP, RMP, and AONC-related actions.

- Liaise with internal stakeholders to ensure timely resolution of regulatory queries and observations.

Regulatory Reporting & RBS

- Support submission and review of regulatory returns and RBI reporting requirements.

- Review and validate RBS Tranche I, Tranche II, Bank Profile, and other regulatory submissions.

- Perform data validation, exception analysis, and MIS reporting.

- Monitor submissions through DAKSH, CIMS/Data Collector, and other regulatory platforms.

📌 Compliance Manager (Mumbai)
🏢 Kotak Mahindra Bank
📍 Mumbai