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. The is the sole property of Tata AIA Life Insurance. The content of this JD is confidential, and unauthorized changes or reproduction are forbidden. To know more about Tata AIA Life, click on the weblink: