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