Compliance Assessment

1. Which of the below compliance activities is the BH/ABH/AM is held accountable for with regards to Branch Manager?

• Display of all notices mandated by the compliance team

• Checking ID’s of all contractual staff

• Ensuring that no customer KYC documents are found in the branch

• All of the above

Which of the below documents is not mandated by the Regulators to be displayed on the entrance door

• Shops and Establishment Certificate

• Employee Wise monthly ranking

• Infosec Awareness posters

• Display of the time lines for Grievance Redressal

What are the maximum hours between which a branch can be open?

• 8:30 am – 10:30 pm

• 7:00 am – 11:00 pm

• 8:30 am – 12:30 pm ( on month end)

• As per approval from BH

Which of the below people will you connect with if you have document/asset missing

• Regional HR

• Regional Training Manager

• Regional Infra

• Regional Head

What are you supposed to do with returned policy documents or undelivered courier

• Refuse to accept it

• Accept the same resend the same immediately to HO

• Accept and resend the same to the customer

• None of the above

For which of the below mentioned reasons can you use the Manual Call Point (MCP).

• If a fire breaks out in the branch

• In case of an earthquake

• In case of riots

• All of the above

How many working hours are mandated for outsourced staff

• 48 hours weekly

• 72 hours weekly

• 60 hours weekly

• None of the above

How can a BH check tally of the daily cash/cheque deposited in the branch

• Total Cash and cheque deposited form+ Collection vendor slip+ Cash Deposit slip

• Cash Deposit slip

• Collection Vendor slip

• Total Cash and Cheque deposit form

Totally how many recorded registers does a branch have to maintain

• 6

• 7

• 8

• 9

Each branch has to maintain a Outsource staff register and an Aegon Employee register

• True

• False