Legal and Compliance

3 days ago

Mumbai Maharashtra, India Yugn Full time

**Function: Legal & Compliance**

**Designation: Asst. Manager / Manager - Legal & Compliance Experience**:
**Location: Mumbai**

**Reports To: Dept. Head**

**Roles & Responsibilities**:

- Liaising with the business teams for end-to-end implementation of various regulatory requirements.
- Develop, maintain and update regulatory inventory repository of IRDA Regulations, Guidelines and Circulars.
- Conducting review meetings with business teams on new way forward on regulations, circulars.
- Supervise and ensure periodic submissions and representations to IRDAI on various regulations/circulars and reviewing of SOPs. through coordination with all the stake holders.
- Analysis of IRDAI insurance ordinance.
- Conduct impact analysis of various penalty orders imposed by IRDAI along with the business teams.
- Framing various internal policies of the Company for identifying and addressing the regulatory requirements in a systematic manner.
- IRDA filings of marketing and advertisement material.
- Intimating IRDA about Auditor's appointment/re-appointment, increase in director’s remuneration etc.
- Preparing compliance certificate on a quarterly basis and liaising with various business heads for placing the same in the Board.
- Vetting of Outsourcing Agreements & Distance Marketing Scripts as per IRDAI Guideline perspective.
- Participating in the product implementation projects from compliance perspective.
- Coordinating and ensuring necessary interaction with IRDAI and Life Council for any query resolution, clarification, representation, etc.
- Compliance & Reporting under SEBI Regulation, pertaining to Mutual Funds, Shares & Takeovers etc.
- Preparation of various Reports to be submitted to SEBI, AMFI & Board of Directors of Trustee & Asset Management Company namely; Monthly Cumulative Report (MCR), Bi - Monthly Report, Quarterly Report, NSR etc.
- Maintenance of Compliance Manual, Updating Management on changes in regulatory environment.
- Follow up on commitments/obligations to SEBI and other Regulatory bodies, and on compliance related audit/inspection observations and incidents for systemic corrections.
- Conducting internal audits to ensure everything has been complied with before the external audits.
- Represent the employer as and when needed in case of IRDAI queries/observation, that are highlighted during the audits & inspection, helping quick decision making
- Frequent interaction with compliance heads of partners (HDFC Life, HDFC Ergo & Mutual Funds etc.) to get a better understanding of policies and compliance related matters.
- Assist all other verticals such as HR, Admin, IT and other business teams in matters related to legal & compliance.

**Academics & Expertise**:

- Must have minimum 5 years of relevant work experience into IRDAI compliance and mutual fund industry
- Excellent communication skills. Project management expertise
- In-depth understanding of PMLA, Insurance laws
- Ability to read and interpret the IRDA regulations and Laws
- Collaborative, result oriented and go getter
- Must be a team player

**Job Types**: Full-time, Permanent

Pay: ₹600,000.00 - ₹1,300,000.00 per year

**Benefits**:

- Health insurance
- Provident Fund

Schedule:

- Day shift

**Experience**:

- Legal drafting: 2 years (required)
- IRDAI Regulatory laws: 1 year (required)

Work Location: In person

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