3 Sales Compliance Jobs

Job Title: AM/DM/Manager- Sales Compliance Role objective:- The successful candidate should have extensive experience in conducting, reviewing, providing expert advice and managing Sales Compliance including Investigation of mis-selling cases, branch audits & Process Review, Data Analytics to identify fraud. The candidate needs to have an eye for detail, exercise independence and a meticulous approach to review and an ability to work in a deadline-based environment to adhere to the TAT for closure of cases. Education/ Qualification Graduate, Degree in law, CFE and other relevant certifications preferred Experience - 5 - 10 yrs in Insurance BFSI and minimum 3 yrs experience in large, reputed corporate set up. Work location - Aviva India (HO) 4th Floor , A Block, DLF Cyber Park Sector 20, Phase II, Gurgaon Haryana- 122002 HR Spoc LinkedIn: - https://www.linkedin.com/in/aryan-raj-76247175/ Miscellaneous Skills. Adept at logical thinking and written skills. Well versed with methodology of investigations. Reasonable understanding of Branch Audits & Process reviews Intelligence gathering, collation and dissemination skills Analysis, compilation and preparation of investigation/recommendation reports. Job Responsibilities: Conduct, review and manage investigations relating to fraud detection, potential data losses/breaches, mis-selling & policy violations. Effectively collaborate with investigation team members, business unit managers, control functions and audit teams as relevant to successfully Initiate and complete investigations and related projects in a timely manner while maintaining quality to meet customer and stakeholder expectations, maintain independence and conduct investigations in a manner that mitigates risk to the enterprise. Conduct, review and manage Quarterly Branch audits, Central Monitoring activity to identify fraud & Process review. Prepare proper in-depth Investigation reports summarizing the findings and recommendations for the management. Prepare dashboard and periodic (quarterly) reports/ decks for management and Board. Develop and implement pertinent fraud detection projects, investigation protocols, procedures, metrices. Act as gatekeepers for overall enterprise investigations where delegated or conducted by other control functions. Where relevant, obtain and properly report disciplinary actions taken in response to investigative findings. Assist to proactively advance the fraud intelligence program, strengthen the governance on internal investigations, maintain necessary systems and other MIS, initiate and promote efficiency in conducting investigations to complete it within strict timelines while maintaining integrity and mitigating risks. Properly document and track all information provided to internal, external stakeholders, regulators. Contribute to continuous improvement initiatives by developing and implementing relevant, cost saving, control and process improvements to meet the organization's financial goals. Present investigation and fraud detection findings and recommendations and discuss implications with senior management. Ensure that all necessary and key stakeholders, are engaged or informed at the appropriate stage of investigative, fraud detection, fraud awareness and/or allegation response activities. Stay abreast and informed of emerging investigative and fraud detection data analytics methodologies and information technology. Collaborate with Internal Audit, IT/Cyber-security and other stakeholders to identify and implement new technology to improve Capabilities of internal investigations and fraud detection programs. Promote and support division initiatives and strategic projects through participation and encouragement, mentoring of other team members. About Company: - Aviva plc is a British multinational insurance company headquartered in London, England. It has about 18 million customers across its core markets of the United Kingdom, Ireland and Canada. And Aviva India, a subsidiary of the global Aviva group, is a dynamic and growing player in the Indian insurance market. We offer diverse insurance and financial solutions, emphasize innovation, and prioritize sustainability. What working at Aviva offers We offer a competitive compensation package where youll be rewarded based on your performance and recognized for the value you bring to our business. We also offer you: Support, coaching and feedback from some of the most engaging colleagues around Opportunities to develop new skills and progress your career The freedom and flexibility to handle your role in a way thats right for you Why Aviva Dynamic and collaborative team in a supportive and innovative work environment. Opportunities for professional growth and development. Competitive compensation and benefits package. Be a part of shaping the future of insurance in India. Wikipedia link: - https://en.wikipedia.org/wiki/Aviva Aviva Fortune 500 Company:- https://fortune.com/company/aviva/global500/ Website: - https://www.avivaindia.com/ HR Spoc LinkedIn: - https://www.linkedin.com/in/aryan-raj-76247175/ Head office: - Aviva India (HO) 401A, 4th Floor, Dlf Cyber Park, Phase II, Block A, Sector 20, Gurugram, Haryana 122002

JD Sales Governance As a part of the first line of defence, the role of Sales Governance is to ensure all key issues, pertaining to governance, compliance & Audit, within sales & training are identified, escalated, mitigated and monitored through an appropriate internal control environment/ framework which includes process reviews and process s reengineering with implementation and control monitoring. Key Job Responsibilities Timely creation and updation of multiple Sales Quality reports such as Sales Monitoring tool, Sales Quality Dashboard, Sales KRI, Sales Quality Scores etc. Carry out data analysis on complaints and RCU findings to ascertain any trend or patter and recommend mitigants to prevent the incidents from happening. Schedule F2F interactions and investigations on pre issuance fraud, forgery, impersonation and unethical business practice reported to sales governance. Carry out and challenge testing of controls as a part of the internal control monitoring plan (ICMP) and provide assurance to Sales function on working of internal controls Review and updation of the Risk Control Self Assessment (RCSA) parameters for Sales and Training post discussion with the stakeholders and carry out periodic RCSA testing with results shared with the risk team along with the recommendations Carry out root cause analysis for the incidents highlighted/ escalated by the Sales Quality Function. First line oversight on all sales quality, sales governance; support the sales quality team in carrying out reviews and feed relevant information with sales function. Responsible for implementation and adherence of all regulatory policies and process w.r.t. to sale of insurance to the prospective customers. Assist in carrying out Sales reviews, annual BCP/ DR drills, SQRG, audit, information security reviews, fraud risk assessments etc. Carry out regular gap analysis against the HSBC FIMs relevant to the functional areas Monitoring quality of sales and dissemination of the sales quality score to the stakeholders. Along with the sales leadership team take corrective actions to improve the sale quality. Implementation and monitoring of changes in the sales area as an outcome of the regulatory change / update from the regulator. Implementation and providing update on the new and existing regulatory changes. To ensure monthly analysis of complaints and incident and dashboard to be released to field sales Detailed geographical analysis on complaints and incidents

Building up of ‘Ethical Sales Culture’ within Sales & Distribution verticals. Represent Code & Ethics committee & end to end management of consequence management. Sales Compliance Review, Managing end to end of AML Refresher Training for agents. Required Candidate profile Overall 8 years of experience, with at least 2- 3 years of experience in AML compliances, and ethical conduct, trainings.