APosition Overview

Position Title

Manager-Compliance

Department

Compliance

Level / Band

Manager / 401

BOrganizational Relationships

Reports to Direct

Deputy Vice President - Compliance

Matrix

NA

Supervises

NA

CJob Dimensions

Geographic Area Covered

HO

Stakeholders Internal

Select departments allocated to the member

Stakeholders External

-

DKey Result Areas

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.

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

📌 Manager - Compliance (India)
🏢 TATA AIA LIFE INSURANCE
📍 India