Roles & Responsibilities:

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.

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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📌 Compliance (Personal Trading Compliance) (Mumbai)
🏢 TATA AIA LIFE INSURANCE
📍 Mumbai