Executive

2 months ago


New Delhi, India Tata AIA Life Full time

**A **Position Overview**

**Position Title
- Executive/ Senior Executive Compliance

**Department
- Compliance

**Level/ Band
- 201 /251-Executive/Senior Executive**Role Summary**:

- Undertake system based monitoring, to assess for breaches during investment and report on aberrations identified
- Ensure limits for funds are incorporated in the system and undertake UATs for limits on funds investment allocation patterns

**B **Organizational Relationships**

**Reports T**
**o
- Manager Compliance / Senior Manager Compliance (Investment & Operational Compliance, Reviews)

**Supervises
- Individual contributor**C **Job Dimensions**

**Geographic Area Covered
- PAN India (Investment Compliance management)

**Stakeholders Internal
- Investment Operations (monitoring of limits as per regulations, operatiosn in line with Investment compliance)- Product Management (system requirements / limits, definition in new / revised products)- Actuarial (limits definition for new / revised products)

**External
- No Direct Interaction- Provides inputs to Manager for reporting to IRDA**D **Key Result Areas**
- Undertake system based monitoring, to assess for breaches during investment and report on aberrations identified- Ensure limits for funds are incorporated in the system and undertake UATs for limits on funds investment allocation patterns- Review inputs in system to ensure adherence to regulatory limits- Undertake daily tracking of funds for adherence to limits and investment processes- Track for employee disclosures to ensure no insider trading- Ensure adherence to regulatory norms of Dealing Room Policy on processes spanning NAV checks, valuation process, etc**- **Assess fund fact sheets for inputs on fund asset allocation patterns and report findings to team lead**E

**Skills Required**:
**Technical
**-**
**Good Knowledge of MS Office
**Behavioral
**Essential
**Desired
**Interpersonal skills
**- **

**Communication skills
**- **

**Creative thinking skills
**- **

**Supervising/Leadership skills
**- **

**Teamwork Skills
**- **

**Influencing skills
**- **

**Relationship Building skills
**- **

**Decision making skills
**-**

**F **I **ncumbent Characteristics
**Essential
**Desired
**Qualification
- Chartered Accountant with understanding of markets, investment products and constructs

**Experience
- 2 - 4 years experience in Investment Operations / Investment Compliance roles in BFSI



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