Executive Manager Sales Compliance- Pune

Job Description:

The KYC QC Floor Supervisor plays a critical role in ensuring the effectiveness, accuracy, and quality of Know Your Customer (KYC) and Quality Control (QC) operations. The position is responsible for supervising day-to-day floor activities, maintaining quality standards, driving team productivity, and ensuring adherence to organizational policies, regulatory requirements, and risk management guidelines.The role requires strong leadership capabilities to guide analysts, monitor performance, identify process gaps, and implement continuous improvements. The supervisor will act as a key point of contact for escalations, quality reviews, training, and operational governance while fostering a culture of compliance and excellence.

                                        Job Description – KYC QC Floor Supervisor (L4)

About the Role

The KYC QC Floor Supervisor plays a critical role in ensuring the effectiveness, accuracy, and quality of Know Your Customer (KYC) and Quality Control (QC) operations. The position is responsible for supervising day-to-day floor activities, maintaining quality standards, driving team productivity, and ensuring adherence to organizational policies, regulatory requirements, and risk management guidelines.

The role requires strong leadership capabilities to guide analysts, monitor performance, identify process gaps, and implement continuous improvements. The supervisor will act as a key point of contact for escalations, quality reviews, training, and operational governance while fostering a culture of compliance and excellence.

Key Responsibilities

Team Leadership & Floor Management

• Supervise and manage daily operations of the KYC QC team to ensure smooth workflow and optimal productivity.
• Monitor team performance against defined productivity, quality, and turnaround time targets.
• Provide guidance, coaching, and support to team members on KYC, QC, and compliance-related matters.
• Conduct regular performance reviews, feedback sessions, and skill development initiatives.
• Manage workforce allocation, attendance, shift adherence, and floor discipline.

Quality & Compliance Oversight

• Ensure all KYC and QC activities are performed in compliance with internal policies, regulatory requirements, and established procedures.
• Review quality trends and ensure adherence to quality benchmarks across the team.
• Identify, investigate, and escalate critical quality, compliance, or operational issues.
• Support the implementation of corrective and preventive actions to address recurring errors.
• Promote a strong risk and compliance culture within the team.

Process Governance & Risk Management

• Identify process gaps, operational risks, and control weaknesses, and recommend improvement measures.
• Ensure timely resolution of escalations and exceptions.
• Support internal audits, reviews, and regulatory inspections by providing required information and documentation.
• Track and analyse quality metrics, productivity reports, and operational dashboards.