Senior Manager Branch Compliances

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.