Agent 13 / 40 · Chief Compliance Officer

Compliance Testing Agent

Runs periodic control tests and records results.

Skills

  • ◆ Test plan generation
  • ◆ Sample selection
  • ◆ Exception logging
  • ◆ Retest scheduling

Time window to tackle

6 weeks

14 days10 weeks

Risk mitigation prime

Proves controls work before inspectors test them.

CXO position — prime lead

Chief Compliance Officer (CCO)

Regulator

RBI (Compliance function directions) · all sector regulators

Penalty clause

Non-compliance with RBI directions can attract penalties under Section 47A of the Banking Regulation Act / Section 58G of the RBI Act, and accountability action against the CCO and senior management.

Indicative summary for awareness — verify against the current Act, regulation and circular.

Query for full access

All 40 agents · ₹25,00,000 excluding GST

Interested in: Compliance Testing Agent

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