Role Description A Position Overview Position Title Manager-Compliance Department Compliance Level / Band Manager / 401 B Organizational Relationships Reports to Direct Deputy Vice President - Compliance Matrix NA Supervises NA C Job Dimensions Geographic Area Covered HO Stakeholders Internal Select departments allocated to the member Stakeholders External D Key Result Areas Investment Compliance 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
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.
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 Disclaimer Tata AIA Life Insurance does not charge any fees from candidates during the hiring process. If the application aligns with our requirements, you may be contacted for further steps. Verify job offers through official Tata AIA communication channels to avoid fraud.
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