Manager - Compliance

Position Title

Manager-Compliance

Department

Compliance

Level / Band

Manager / 401

Reports to                                    Direct

Deputy Vice President - Compliance

                                                      Matrix

NA

Supervises

NA

Geographic Area Covered

HO

Stakeholders Internal

Select departments allocated to the member

Stakeholders External

-

Investment Compliance

A)     Personal Trading Guideline

·      Ensure timely updating of the guideline as per regulatory requirements. Benchmarking as may be required for the necessary updation and implementation

·      Oversee implementation and monitoring

·      Conduct quarterly verification for adherence to the requirements of the guidelines

·      Seek information for potential breaches and recommend corrective actions

·      Training and awareness on the guideline requirements

·      Coordinate with relevant stakeholders as may be required for timely implementation, reporting and closure of issues, if any

B)     Investment call recording review

·    Manage periodic reviews of investment-related call recordings to assess adherence to regulatory and internal compliance requirements

·    Identify conduct risks, market abuse indicators, unsuitable investment discussions, or policy deviations, if any in the recordings of dealing room

·    Perform thematic reviews and root cause analysis of observations as may be required

·    Prepare and present compliance findings, trends, and remediation plans to senior management

·    Partner with front-office teams to strengthen control environments and promote best practices.

Management Reporting

·    Monitor key compliance metrics, trends, and emerging risks using data-driven reporting techniques

·    Ensure accuracy, completeness, and timeliness of reports delivered to senior leadership.

·    Ensure reporting aligns with governance requirements and regulatory expectations.

·    Support Board and Committee meetings through preparation of materials and follow-up actions.

·    Co-ordinate with stakeholders for timely submission of the reports

·    Drive implementation and continuous enhancement of Group Governance Framework.

·    Monitor compliance with established policies, standards, and control requirements.

·    Coordinate governance reviews, policy attestations, and framework assessments.

·    Track risk and control issues, remediation activities, and closure effectiveness.

Essential

Desired

Qualification

CA / MBA in finance

CS

Experience

• 4-5 years (Manager) - relevant experience in life insurance or financial services.
• Prior exposure to handling Personal Trading Guideline compliance and management reports and driving ethical program in the organization

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