Compliance Manager

Job Description :

• Approving, reviewing the advertisement related Compliances
• Preparation of Rollout (Summary of Regulatory updates) on daily updates from the regulatory Bodies
• Handling Internal Audit., further also conducting compliance audit and testing to highlight and fulfil the regulatory gaps in the department
• Compliances related to place of business i.e. filing w.r.t. branch opening, closure, relocation to the regulator. Keeping repository of the same.
• Ensuring submission of all periodical returns as well as Adhoc return to IRDAI/ IIB/Life Council
• Giving compliance opinion to Internal departments regarding Compliances and tracking of the compliance actionable as well as implementation within the Organization.
• Preparation of MIS/ dashboards on Compliance activities for the Management
• Maintaining a record of all the Regulatory reports required to be filed with the Regulators like IRDAI, FIU, IIBI, Life Council, etc and update from time to time with accuracy
• Publishing MIS reports to demonstrate the number of filings done and track for delays if any and highlight to the Management
• AML STR / RFI monitoring and filing with FIU
• Screening of customers with prescribed terrorist lists
• Responding to FIU queries in timely manner
• Preparation of checklists, process notes, SOP's, manuals used in the day to day compliance processes
• Execution of automation projects and IT projects

• LLB or CS or CA will be added advantage
• Experience up to 4-6 years
• Should have analytical skills, and well versed of relevant