Audit Dashboard
Branch audit lifecycle management
12
Active
5
Day 1 Pending
3
BM Review
8
Critical
156
Completed
Audit Pipeline
| Audit ID | Branch | Stage | Score | Date | |
|---|---|---|---|---|---|
| AUD-2025-0001 | Andheri West | Final Report | 42 Unsatisfactory | Jan 1, 2025 | View → |
| AUD-2025-0002 | BKC Main | BM Review | - | Jan 1, 2025 | Review → |
| AUD-2025-0003 | Thane Station | Day 1 Pending | - | Jan 2, 2025 | Enter Data → |
Pre-Audit Setup
Select branch and schedule audit
Day 1 - Physical Verification
Andheri West • AUD-2025-0003
CRITICALCash 3-Way Reconciliation
Physical Cash Count
Denomination-wise count completed
System EOD Report
Downloaded & verified
Vault Register
Entries matched
CRITICALKeys Register Verification
Vault Keys - Dual Custody
BM Keys - Holder Verified
BOM Keys - Holder Verified
No Dual Key Holding
CRITICALLocker Operations
Register vs System Match
Physical Inspection Done
Agreement Documentation
HIGHBranch Compliance
Notice Board (SQ Audit)
POSH Compliance Display
3-Language Signage
Day 2 - AI Agents Processing
Andheri West • Q4-FY2025
0.0s
11 AI Agents
0/11Cash Management
KYC/AML
Account Lifecycle
Remittance
ATM Operations
Deliverables
Death Claims
Complaints
Expenses
Compliance
Physical Verification
Execution Log
Live
0
Controls
0
Findings
0
Critical
0
Records
Draft Audit Report
Pending BM ReviewAUD-2025-0002 • BKC Main • Q4-FY2025
48
Controls
18
Findings
8
Critical
14.2s
Time
⚠️
FRAUD ALERT: Chinese Wall Breach
EMP10236 handled Card & PIN • RBI/2024-25/DEL Section 6.1
AI Recommendations Summary
18 findings analyzed • 12 action items generated
IMMEDIATE ACTIONS (Within 24 hours)
1.
Vigilance
Segregate Card & PIN handling immediately
Assign different staff members for card dispatch and PIN mailer handling
2.
BM
Deposit excess cash ₹3.5L to currency chest
Current holding ₹28.5L exceeds limit of ₹25L
SHORT-TERM ACTIONS (Within 7 days)
3.
BOM
Complete EDD for 3 high-risk accounts
Accounts flagged: AC001234, AC005678, AC009012
4.
BM
Update Key Register - BOM holder mismatch
Current holder name doesn't match register entry
5.
BOM
Reconcile locker register with system
3 lockers showing variance between physical and system
MEDIUM-TERM ACTIONS (Within 30 days)
6.
BM
Conduct staff training on Chinese Wall policy
Mandatory training for all deliverables handling staff
7.
IT
Implement daily automated cash limit alerts
Set up system alerts at 80% and 95% threshold
8.
BOM
Establish weekly key register audit process
BOM to verify all key holders every Monday
Findings with AI Analysis - BM Response Required
Final Audit Report
AUD-2025-0001 • Andheri West • Q4-FY2025
Audit Score Summary
42
out of 100
✗ Unsatisfactory
Trend: ↓ Declining
Previous: 68
Score Breakdown
Cash Compliance12/20
KYC/AML8/15
Physical Verification10/20
Operations12/25
Rating Scale
Satisfactory: 85-100
Adequate: 70-84
Needs Improvement: 50-69
Unsatisfactory: <50
48
Controls
18
Findings
8
Critical
12
Accepted
6
Rejected
⚠️
FRAUD DETECTED - Escalated to Vigilance
Chinese Wall Breach • EMP10236 • RBI/2024-25/DEL 6.1
AI Remediation Roadmap
8 action items • 30-day completion target
3 Completed
5 Pending
| Action Item | Timeline | Owner | Status |
|---|---|---|---|
| Segregate Card & PIN handling | 24 hrs | Vigilance | Done |
| Deposit excess cash ₹3.5L | 24 hrs | BM | Done |
| Complete EDD for 3 accounts | 7 days | BOM | In Progress |
| Update Key Register | 7 days | BM | Done |
| Reconcile locker register | 7 days | BOM | In Progress |
| Staff training on Chinese Wall | 30 days | BM | Scheduled |
| Implement cash limit alerts | 30 days | IT | Pending |
| Weekly key register audit | 30 days | BOM | Pending |
Final Findings with AI Analysis
RBI Audit Policy Framework
Master Direction - Branch Operations 2024-25
v2024-25Effective: Apr 1, 2024