Unity Small Finance Bank - Lead - Vigilance

I. POSITION DESCRIPTION

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:

- 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 Bank's Code of Conduct/ other applicable