Key Result Areas
Supporting Actions
Compliance Management for Insurance & investment
- Manage compliances in a timely and orderly manner in all regulatory matters under corporate laws, SEBI, MCA, stock exchanges and RBI.
- Experience in Managing compliance for Mutual fund, AIF,PMS & Digital Metal.
- Review and file required documents, returns, and clarifications to IRDAI,AMFI, SEBI as necessary.
- Ensure timely compliance with all applicable IRDAI, IRDAI,AMFI, SEBI obligations, reporting, and filings
- Collaborate with the Partnership and Legal team for compliance-related matters and contract reviews.
- Manage regulatory inquiries.
- Identify potential compliance risks, gaps in processes, or areas for improvement within the organization.
- Assist senior management and business units in making compliance-conscious decisions that align with IRDAI, IRDAI,AMFI, SEBI regulations.
- Obtain necessary licenses and registrations from regulators/authorities, if required.
Monitoring
- Monitor statutory compliances and follow up regularly with internal teams to complete filings within prescribed timelines;
- Develop guidelines, SOPs, document templates as may be required from compliance perspective and as good governance;
- Keep abreast of the regulatory changes & come up with the implementation plan
Stakeholder Management
- Interact with auditors, regulators, and other internal as well as external stakeholders.
