Lead Vigilance

2 weeks ago

Navi Mumbai, Maharashtra, India Unity Small Finance Bank Full time ₹ 9,00,000 - ₹ 12,00,000 per year

Job title:- Lead Vigilance

Department :-Audit & Vigilance

Designation :-SM/AVP

Location :-Seawoods (Navi Mumbai)

Reports to :-Group Head Internal Audit & Vigilance

II. KEY DUTIES & RESPONSIBILITIES OF THE ROLE

Business/ Financials

  • Manage investigation cases of frauds/ Whistle Blower complaints as well as allegations of fraud/ bribery and corruption.
  • Investigate cases which are highly sensitive and may expose Bank to higher risk.
  • Review of existing process with a view to identify weak controls to eliminate or minimize the scope for corruption or malpractices; identify the sensitive/corruption prone spots.
  • Investigation of all reported cases within Bank, Whistle Blower and Anonymous Complaints (as per the merit)
  • Identification of control weaknesses and recommending solutions and controls for future improvements.
  • Collection and collation of evidence, preparation of reports
  • Data extraction/ compilation and analysis of transactions to recognize and interpret unusual patterns using expertise.
  • To ensure compliance with all the regulatory circulars during and after the investigation
  • Release of investigation report/ findings within the timelines
  • To assist Head of Internal Audit & Vigilance on investigations, periodic updation in Whistle Blower policy and Vigilance Manual Customer (Both Internal & External)
  • To ensure investigation reports are circulated or distributed within limited/ required/ Senior Management, which should meet the quality criteria i.e. accurate, objective, clear, concise, constructive, complete, and timely.
  • To ensure that gaps highlighted in the investigation report are relevant.
  • To coordinate with respective stakeholders for timely implementation of action plans Internal Process
  • To ensure complete documentation of work-papers by self and team in line with RBI requirements (as requested at the time of their AFI or otherwise)
  • To maintain robust Internal MIS mechanism and submit information to management on prompt basis
  • To ensure to adhere to Vigilance manual in the conduct of investigations and maintain investigation evidence thereof
  • Maintaining complete inventory of Whistle Blower and other cases

I. ROLE PURPOSE & OBJECTIVE

  • Responsible for managing a team of investigators and handling cases of Fraud/ Attempted Fraud/ Corruption and others Vigilance related matters
  • Driving of Preventive Vigilance exercises in the Bank to prevent future fraud/ loss
  • Ensure appropriate staff action to be taken by HR as per the Banks Code of Conduct/ other applicable policy & procedures.

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