Senior Manager

2 weeks ago

Mumbai, India Tata AIA Life Insurance Full time
A Position Overview
Position Title
Senior Manager - Compliance
Department
Compliance
Level/Band
501
Location
Mumbai
Role Summary:
Partnering with business to comply laws, regulations, initiatives and distribution tie-ups smoothly.
Drive Implementation of various notifications from Authorities by coordinating with various teams and ensure timely implementation.
Providing legal advise on issues pertaining to implementations of laws/ exposure drafts from Regulator and other Authorities.
Maintaining repository of all regulatory advisory to ensure its timely availability.
Providing extensive legal search and evaluating industry benchmark to opine on various business initiatives and legal provisions including international laws.
Compliance testing/review of the Implemented Regulations to ensure no implementation gaps.
Ensure timely submission of periodic regulatory reports.
Ensuring drafting, vetting and execution of contracts to be entered into by the Company with distributors (agents, corporate agents, brokers, web aggregators) and put in place measures for effective contract management with the objective of protecting the interests of the Company and mitigating legal and contractual risks.
Facilitating business teams for timely advertisement approvals and ensuring timely regulatory filings of the advertisement.
Formulating SOPs, process or policies for internal stakeholders.
Spreading legal and compliance awareness across the functions by imparting training on laws and regulations.
Responsible for driving compliance culture in the organization through right messaging and tone at the top through increased engagement, platforms and initiatives.
B Organizational Relationships
Reports To
AVP/VP – Compliance
Supervises
Regulatory Compliance
C Job Dimensions
Geographic Area Covered
Pan India
Stakeholders Internal
All functions
D Key Result Areas
Regulatory Implementation/ Reporting
Drive Implementation of various notifications from Authorities by coordinating with various teams and ensure timely implementation.
Providing legal advise on issues pertaining to implementations of laws/ exposure drafts from Regulator and other Authorities.
Maintaining repository of all regulatory advisory to ensure its timely availability.
Providing extensive legal search and evaluating industry benchmark to opine on various business initiatives and legal provisions including international laws.
Ensure timely submission of periodic regulatory reports.
Compliance Acceptance testing
Compliance Acceptance testing to check that the Notifications are implemented as per Regulatory requirement.
Detailed scoping of the requirement of the Regulation and performing detailed testing to evaluate the adequacy of Implementation.
Proactive identification, and resolution of identified gaps on timely basis with the help of first line of defence.
Regulatory Advocacy
Provide well researched opinion on the business initiatives.
Maintain repository of all regulatory opinions to ensure its timely availability.
Advise and provide clarifications to operations personnel on the regulatory provisions so as to ensure that the processes are modeled and executed in line with the same.
Partnering with internal department in all matters requiring compliance support.
Coordinating with the internal stakeholders on various issues to enable business team to find quick solutions.
Support business teams in designing sales models which are in compliance with the regulations.
Structuring and negotiation of various contracts entered into with distributors (agents, corporate agents, brokers, web aggregators, insurance marketing firm etc) and ensuring that the same are in line with regulatory requirements.
Keeping in view of the business requirements and industry view, provide recommendations to on regulatory exposure drafts.
Impart training to employees as well as to channel partners on legal and compliance policies, standards of the company, laws and regulations issued by the Authority.
Drive Compliance Culture
Drive compliance culture in the organization through communication plan.
Drive zero tolerance policy and socializing its importance in the organization.
Sharing best compliance opinion through internal learning, research, ascertaining best practices in the insurance sector.
E Skills Required
Technical
Good Knowledge of MS Office
Behavioral
Essential
Desired
Interpersonal skills
Communication skills
Analytical Thinking
Negotiation and Drafting
Teamwork Skills
Influencing skills
Relationship Building skills
Decision making skills
Incumbent Characteristics
Essential
Desired
Qualification
LLB/CA
CS
Experience
3+ years
Experience in compliance/ legal roles

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