Financial Regulatory Specialist

3 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 20,00,000 - ₹ 25,00,000
Compliance Officer

We are seeking an experienced Compliance Officer to join our team. This role is responsible for ensuring all regulatory submissions are periodically uploaded to the relevant portal, following concurrence with stakeholders.

  • Regulatory Submissions: Ensure all new business submissions, schedules submissions, SP submissions, complaints submissions, financial statements submissions, and compliance certificates as applicable are submitted on time.
  • Registers Maintenance: Track, align, ensure, and coordinate with respective teams to maintain regulatory registers in an appropriate format for submission to the relevant authorities.
  • Communication to Regulators: Notify regulators of branch openings/closures, directorship changes, regulatory charges levied, and other required communications.
  • IIB Envoy Portal Update: Upload, track, and review salesperson and SP details periodically.
  • IRDAI CA/ISNP/Envoy License Renewal: Ensure all applicable licenses are procured, renewed, and coordinated with stakeholders within stipulated timelines.
  • NOC Issuance & Detagging PAN in IRDAI Portal: Issue NOCs for exited SPs and detag PAN from IRDA and Envoy, with record keeping.
  • Telemarketer License Application: Apply for telemarketing licenses and submit regulatory data to the relevant authorities as per guidelines.
  • Renewal of IRDAI Licenses: Track and renew IRDAI CA licenses, PO, ISNP, Envoy, and other licenses, ensuring timely renewal and coordination with stakeholders.
  • Regulatory Checklist Maintenance: Track the regulatory checklist, including IRDAI data maintenance, registers, timely submissions, grievances, etc., with stakeholders.
  • Reconciliations Tracking: Coordinate with finance, product teams, and insurers for monthly reconciliation sign-off, ensuring gaps identified are followed up.
  • Agreements Maintenance: Maintain and track agreements with insurers, SLAs, and commission structures.
  • Grievance Tracking/Data Maintenance: Track grievances from the grievance team, insurers, and coordinate resolution with insurers, business, product, and branch teams.
  • Audit Initiation for Branch & Tracking: Provide audit checklists and coordinate with functional audit teams to track audit resolutions for branches.
  • AML Compliance Check: Provide AML checklists to compliance teams and coordinate tracking AML cases with internal and external stakeholders.
  • Litigation Tracking: Bookkeep insurance litigation cases, update regulators as needed, and ensure open cases are tracked.
  • Other Activities: Perform any additional tasks delegated by management or supervisors as required.

Requirements: 4-8 years of experience in a similar domain.

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