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 settings 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 r

📌 Manager Compliance Thane
🏢 TATA AIA LIFE INSURANCE
📍 Thane