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Product Compliance

4 weeks ago

Mumbai, India Kotak Mahindra Bank Full time

JOB DESCRIPTION

  • Responsible for all compliance, regulatory, policies and processes as applicable.
  • Implementing and managing the compliance framework of the company.
  • Identify root causes of non-compliance events. Provide recommendations on corrective actions.
  • Identify various risks and prepare the risk framework of the company. Evaluate the implementation and make changes as appropriate to the risk framework.
  • Prepare reports outlining recommendations for improvements.
  • Design action plans to ensure robust compliance.
  • Maintain appropriate records.
  • Coordinate, prepare, or review regulatory documents or submissions.
  • Co-ordinate with the Regulatory authorities when required
  • Keeps oneself updated on best practices and high on Market intelligence.
  • Having good knowledge and process understanding of Insurance business
  • Should be able to work as a team player with other functions.
  • Well versed with IRDAI Corporate Agency Regulations 2015 & other relevant Guidelines.

JOB ROLE

  • Annual and quarterly submissions to IRDAI and reporting the respective data.
  • Handling IRDAI Inspections and various audits external and internal.
  • Dissemination of daily regulatory circulars to respective stakeholders, assisting them in implementation and monitoring until compliance.
  • Ensure acquiescence with compliance standards and regulatory requirements
  • Handling ad-hoc regulatory compliance filings for Corporate Agency.
  • Empanelment documentation and compliance with Insurers and other respective authorities.
  • Monitor all regulatory changes IRDAI / SEBI / RBI on regular basis and advise the concerned
  • Departments for implementation and monitoring.
  • Handling grievances /complaints filed by Clients
  • Preparation of various Compliance MIS.
  • To advise various departments across the company on compliance issues raised by them.
  • Drafting / vetting of policies, agreements and contracts involving various regulations and acts.
  • Liasioning with IRDA officials for various approvals
  • Suggestion on improvement and automation of processes and innovative ideas to improve the services.
  • Critical Competencies
  • Having good knowledge and process understanding of Insurance Business, Analytical Skills, Domain Knowledge, Excellent Co-ordinating Skills, Project Management capabilities, Exposure to interact with Statutory Authorities and Problem Solving.
  • Key Interactions
  • Sales and Distribution Team, LI Product Team, Process, Ops, Underwriting, Marketing, IT and External Authorities
  • Measures of success
  • Quantity Zero Non-Compliance
  • Quality Ensure acquiescence with compliance standards and regulatory requirements