for Sr Compliance Manager

5.00 to 7.00 Years Gurugram 21 Mar, 2023

Job Location	Gurugram
Education	Not Mentioned
Salary	Not Disclosed
Industry	Banking / Financial Services
Functional Area	Finance / Accounts / Tax
EmploymentType	Full-time

Job Description

About the jobKey Responsibilities:I. Regulatory InterpretationAssisting in interpretation of applicable regulatory/statutory provisionsDoing research work and assisting on giving opinions to functions on matters requiringcompliance views to ensure adherence to regulatory requirementsRegulatory Interface: Coordinating and ensuring necessary Interacting with IRDAI and LifeCouncil for any query resolution, clarification, representation, etc.II. Regulatory AdvocacyAssisting in drafting advocacy notes.Carry out research (primary and secondary) to help firm up advocacy positions and papersDevelop internal processes and SOPs to institutionalize internal governance framework forthe Regulatory advocacyScan, monitor and constantly evaluate the regulatory and policy landscape fordevelopments which are likely to impact business and proactively help business to beready with plans, draw out advocacy plans from the same.Be responsible for all documentation of process and information flow relating to thefunction including creation and owning of advocacy execution trackers, dashboards,repository of regulations etc.III. Manage Compliance Admin Reviews:Co-creating and carrying out Compliance Admin reviews and track for closureIdentify process gaps/ failures within distribution and other internal departments; therebyrecommend preventive measures to help mitigate such issues in future. Close looping ofrecommended measures with other departments.Leading ADHOC Projects assigned and its closure within the required timeframeIV. Effectively manage Whistleblower ProcessStrengthen governance of Whistleblower Platform - acknowledge, allocation, follow ups, andensure complete closure of incidents. Adherence to the Whistleblower Policy and EDAPmanagement with no management surprisesEnsure respective leadership members are timely updated with critical ongoing issues withintheir patchesEnsuring the learnings generated from the closure of the investigation.Ensure timely delivery of Dashboards and Quality Checks before release and drive for fasterclosure of these cases.Seamless operational of Ethics Hotline Platform with effective Governance of WB PolicyConducting Whistleblower Committee - Presentation, coordination Drive timely MOM closure forthe effectiveness of these meetings- QuarterlyThe timely flow of data and updates for the management committees and ensure qualitativeinputs are submitted for the effective presentation from the Unit - QuarterlyTimely delivery of dashboards to the leadership team and ensure its effectivenessV. Drive CultureDrive compliance culture in the organization through communication planDrive zero tolerance policy and socializing its importance in the organizationDrive and maintenance of Compliance Functional TrainingSharing best compliance opinion through internal learning, research, ascertaining best practicesin the insurance sectorDrive focused Compliance Training Program for new joinees and Distribution Leaders throughe-learning moduleImplementation of Compliance Reward ProgramOther initiatives to strengthen our organizational culture - Welcome Mailer, Survey, SMS, etc.

Keyskills :
sopcompliance management

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Job Description

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