Assistant Manager - Compliance

Role & responsibilities

Regulatory Compliance:

• Assist and ensure timely implementation and ongoing compliance of various IRDAI regulations or guidelines.
• Support for obtaining IRDAI Approvals Branch opening, licenses, referrals, etc.
• Timely tracking and reporting of regulatory filings.
• Filing of advertisement material with IRDAI and maintenance of advertisement register.

Vendor due diligence:

• On-boarding of vendors (outsourced and non-sourced) post completion of compliance related documents and requirements.
• Review and approve vendor due diligence cases and maintenance of tracker.

Support to Business:

• Provide guidance and solutions to business on compliance / regulatory matters.
• Sign offs on Marketing material, training material, policies & procedures, customer and internal communication, new business initiatives etc.
• Queries from field on matters related to KYC, third party payment, PAN, Gifts and Entertainment, etc.
• Ensure timely Publication of shareholder reporting
• Supporting Secretarial team with timely publication of Board Meeting data.
• Preparation and Updating of various compliance policies and procedures like Anti Bribery, Trading Guidelines for Personal Investments, Anti Money Laundering (AML), Gifts and Entertainment, etc.
• Managing Restricted List, pre-clearance trading approvals and quarterly declarations with respect to Personal Trading Guidelines.
• Adherence for various organizational communications on compliance policies as per schedule.
• Conduct Trainings related to Anti Bribery and other Compliance trainings.

Preferred candidate profile

• Minimum Post Graduation and experience in Regulatory Compliance
• Minimum 6 years experience (minimum 3 years in compliance).