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Senior Manager - Legal & Compliance

12.00 to 18.00 Years   Mumbai City   18 Nov, 2020
HDFC sales Ltd
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaFinance / Accounts / Tax
EmploymentTypeFull-time

Job Description

Roles & Responsibilities:Roles and Responsibilities:

  • Liaising with the business teams for end to end implementation of various regulatory requirements.
  • Develop, maintain and update regulatory inventory repository of IRDA Regulations, Guidelines and Circulars.
  • Conducting review meetings with business teams on new way forward on regulations, circulars.
  • Making periodic submissions and representations to IRDAI on various regulations/circulars and reviewing of SOPs.
  • Analysis of IRDAI insurance ordinance.
  • Timely submission of regulatory reports to various authorities on both regular and ad-hoc basis by coordinating with all the stake holders.
  • Conduct impact analysis of various penalty orders imposed by IRDAI along with the business teams.
  • Framing various internal policies of the Company for identifying and addressing the regulatory requirements in a systematic manner.
  • IRDA filings of marketing and advertisement material.
  • Intimating IRDA about Auditors appointment/re-appointment, increase in directors remuneration etc.
  • Preparing compliance certificate on a quarterly basis and liaising with various business heads for placing the same in the Board.
  • Vetting of Outsourcing Agreements & Distance Marketing Scripts as per IRDAI Guideline perspective.
  • Participating in the product implementation projects from compliance perspective.
  • Coordinating and ensuring necessary interaction with IRDAI and Life Council for any query resolution, clarification, representation, etc.
  • Compliance & Reporting under SEBI Regulation, pertaining to Mutual Funds, Shares & Takeovers etc.
  • Preparation of various Reports to be submitted to SEBI, AMFI & Board of Directors of Trustee & Asset Management Company namely; Monthly Cumulative Report (MCR), Bi Monthly Report, Quarterly Report, NSR etc.
  • Maintenance of Compliance Manual, Updating Management on changes in regulatory environment.
  • Follow up on commitments/obligations to SEBI and other Regulatory bodies, and on compliance related audit/inspection observations and incidents for systemic corrections.
Location: Mumbai Branch: Churchgate Experience:12 years - 18 yearsSalary Range:As per industry standardFunctional Area:Head/VP/GM-LegalEmployment Type:PermanentDesired Candidate Profile:Candidate Profile:
  • The candidate must be graduate from any discipline, preferable would be Banking/Finance
  • Must have minimum 5 to 7 years of relevant work experience into IRDAI compliance and mutual fund industry
  • Communication skills&Project management expertise
  • In-depth understanding of PMLA, Insurance laws
  • Ability to read and interpret the IRDA regulations and Laws
  • Collaborative, result oriented and Go-getter
  • Must be a team player
,
  • The candidate must be graduate from any discipline, preferable would be Banking/Finance
  • Must have minimum 5 to 7 years of relevant work experience into IRDAI compliance and mutual fund industry
  • Communication skills&Project management expertise
  • In-depth understanding of PMLA, Insurance laws
  • Ability to read and interpret the IRDA regulations and Laws
  • Collaborative, result oriented and Go-getter
  • Must be a team player

Keyskills :
financesalescourt appointed receivermutual fundsimpact analysisasset managementquery resolutionaustralian equitiescompatibility testingproduct implementationregulatory requirementsnsramfiirdamanualscripts

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