Compliance Lead

1 week ago


Mumbai, Maharashtra, India Kotak Life Insurance Full time ₹ 15,00,000 - ₹ 25,00,000 per year

JobDescription

OBJECTIVE OF THE ROLE

To ensure Returns filing compliances by way of timely submission after quality verification of IRDAI returns and review of advertisements

KEY RESPONSIBILITIES

Weightage

Ensuring Filing of Regulatory Returns with the Authorities on/before time

Maintenance of Regulatory filing calendar upto date

Conducting quality verification checks and ensuring correction of identified errors before filing or regulatory returns

Setting of processes of data receipt from depts and controls put in place to ensure quality of data for filing

Preparation of analytical MIS for above activities and presentation to the management.

Maintenance of records

Attending to audits

3

0%

Review of advertisements, Communications

Ensuring Filing of advertisements with the Authorities on/before time

Maintenance of Advertisement Register and Communication Register

Setting of processes of data receipt from depts and controls put in place to ensure quality of data for filing

Preparation of analytical MIS for above activities and presentation to the management.

Maintenance of records

Attending to audits

1

0%

Ensuring AML and IRDA Compliance through compliance checks and monitoring the business based on parameters

Filing of Regulatory Returns with the Authorities

Ensuring implementation of Board approved Policy and processes

AML mail box - Resolving queries of various department on AML aspects

Preparation of analytical MIS for above activities and presentation to the management.

Maintenance of AML correspondence

Attending to audits

30 %

Release of Circulars and ensuring implementation of actionables in time

Maintenance of register and documentation of actionables

Release of compliance self certification and assisting in board documents

Verifcation of compliance self certifications and releasing the observations

30%

INTERACTIONS

Internal Relations All teams

External RelationsRegulators


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