. 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.
E. Incumbent Characteristics
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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