📋 Ultra Operations

Audit & Compliance
Operations Team

An AI-assisted audit and compliance operations unit that provides internal audit support, transaction monitoring, and vendor risk management – keeping your institution perpetually prepared for regulatory inspection.

⚖️ What We Do

Perpetually Audit Ready

Most institutions scramble to prepare for audits. Our approach makes audit preparation continuous – so when the regulator or internal auditor arrives, your files are already in order.

01
Internal Audit Support
Internal Audit Support
We conduct concurrent audits of loan files, branch operations, and process compliance - sampling, testing, and flagging deviations before they become findings.
02
Transaction Monitoring
Transaction Monitoring
AI-powered transaction monitoring for AML/CFT compliance - suspicious transaction alerts, STR preparation, and PMLA record maintenance.
03
Vendor Risk Management
Vendor Risk Management
Third-party due diligence, vendor compliance tracking, concentration risk monitoring, and SLA adherence reporting for all critical vendors.
04
Compliance MIS
Compliance MIS
Weekly compliance dashboards for the CRO, monthly compliance reports for the Board, and exception reports for the Audit Committee — all automated.
05
Loan File Compliance Audit
Loan File Compliance Audit
Systematic review of sanctioned files for documentation completeness, policy compliance, and regulatory adherence - with exception registers.
06
Regulatory Deadline Tracking
Regulatory Deadline Tracking
Manages your institution's regulatory calendar - return due dates, disclosure requirements, and mandatory reporting obligations -with zero misses.

The Cost of Not Being Prepared

RBI imposed ₹ penalties on 50+ banks and NBFCs in the last year alone for compliance lapses.
Our team makes sure you’re never in that list.

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Compliance Status Reporting
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RBI Inspection Ready
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STR Filing Compliance
Audit Penalties for Our Clients

Deploy Your Audit & Compliance Team

Book a consultation to discuss your institution’s audit and compliance challenges – we’ll propose a customised operations model.