Senior Regulatory Specialist

7 days ago

Agra, Uttar Pradesh, India beBeeCompliance Full time ₹ 2,00,00,000 - ₹ 2,50,00,000

About the Role

  • The Compliance Officer is responsible for ensuring timely regulatory submissions to various stakeholders.
  • Awareness of the process of submission of regulations, including new business submissions, schedules submissions, and compliance certificates as applicable.
  • Maintaining accurate records of regulatory registers, ensuring they are up-to-date and submitted on time.
  • Communicating regulatory information to relevant authorities, including branch openings and closures.
  • Tracking and reviewing salesperson and SP details in the IIB Envoy Portal periodically.
  • Oversight of the renewal of applicable licenses, such as CA/ISNP/Envoy, and coordination with stakeholders on licensing requirements.
  • Issuing NOCs for exited SPs and detag PAN from IRDA & Envoy, maintaining accurate records.
  • Applying for telemarketing licenses and submitting regulatory data to IRDAI as per guidelines.
  • Tracking and renewing various licenses, including IRDAI CA, PO, ISNP, Envoy, and others, in collaboration with stakeholders.
  • Maintaining a regulatory checklist, ensuring timely submissions, grievances, and data maintenance.
  • Coordinating with finance, product teams, and insurers for reconciliation sign-offs, addressing gaps identified during reconciliations.
  • Managing agreements with insurers, SLAs, and commission structures, ensuring compliance with regulatory requirements.
  • Tracking grievances from the grievance team, insurers, and other stakeholders, coordinating resolutions and maintaining grievance registers.
  • Initiating audits for branches, providing audit checklists, and tracking resolution progress with functional audit teams.
  • Conducting compliance checks on Anti-Money Laundering (AML) cases, providing checklists to internal and external stakeholders.
  • Monitoring litigation cases, updating regulators as needed, and bookkeeping open cases.
  • Performing other activities delegated by management and supervisors from time to time.

Key Responsibilities:

  • Regulatory Compliance: Ensure all regulatory submissions are completed within deadlines.
  • Licensing and Certifications: Oversee the renewal of applicable licenses and ensure they remain current.
  • Stakeholder Management: Coordinate with various stakeholders, including finance, product teams, and insurers.
  • Record Keeping: Maintain accurate records of regulatory registers and submit them on time.
  • Compliance Checks: Conduct regular compliance checks on AML cases and provide checklists to stakeholders.
  • Grievance Management: Track and resolve grievances from various stakeholders.
  • Audit and Compliance: Initiate audits for branches and track resolution progress.
  • Communication: Communicate regulatory information to relevant authorities and stakeholders.

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