Insurance Regulatory Compliance Specialist

1 week ago

Tirupati, Andhra Pradesh, India beBeeCompliance Full time ₹ 11,00,000 - ₹ 16,50,000
Compliance Officer

This role is responsible for ensuring adherence to regulatory requirements, particularly in the insurance sector. The individual will be required to manage and maintain various regulatory records, submit periodic reports to relevant authorities, and coordinate with stakeholders to ensure timely submissions and resolutions.

Key Responsibilities:
  • Regulatory Submissions: Periodically upload regulatory submissions to the portal after obtaining concurrence from relevant stakeholders. Ensure that all submissions are made within stipulated timelines.
  • Registers Maintenance: Track, align, and ensure that regulatory registers are maintained in the appropriate format and submitted to authorities as per regulations.
  • Communication to Regulators: Notify regulators of changes such as branch openings/closures, directorship changes, and regulatory charges levied.
  • IIB Envoy Portal Update: Upload, track, and review salesperson and details periodically.
  • License Renewal: Ensure that all applicable licenses are availed, procured, and renewed within stipulated timelines. Coordinate with stakeholders on licensing applicability and repository maintenance.
  • NOC Issuance & Detagging PAN: Issue NOC for exited salespersons and detag PAN from , maintaining records.
  • Telemarketer License: Apply for telemarketing license as per guidelines and submit regulatory data to authorities accordingly.
  • Renewal of Licenses: Track and renew CA license, PO, ISNP, Envoy, and other licenses, involving product teams and insurers.
  • Regulatory Checklist Maintenance: Track the regulatory checklist, including data maintenance, registers, timely submissions, grievances, etc., with stakeholders.
  • Reconciliations Tracking: Coordinate with finance, product teams, and insurers for monthly reconciliation sign-off, addressing gaps identified.
  • Agreements Maintenance: Maintain and track agreements of insurers, SLAs of insurers, and commission structures of insurers.
  • Grievance Tracking/Data Maintenance: Track grievances from the grievance team, insurers, and resolve issues with business, product, and teams. Maintain a grievance register as per regulatory requirements.
  • Audit Initiation for Branch & Tracking: Provide audit checklists and coordinate with functional audit teams to track resolution for branches.
  • Compliance Check on Anti-Money Laundering: Provide checklists to compliance teams and coordinate/tracking cases with internal/external stakeholders.
  • Legal/Litigation Tracking: Bookkeep litigation cases, update authorities as needed, and provide open case updates.
  • Other Delegated Activities: Perform any activities delegated by management and supervisors from time to time.

Experience: 4-8 years in a similar domain.

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