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Senior Manager - Legal & Compliance



Job Description

Roles & Responsibilities:

Roles and Responsibilities:

  • Liaising with the business teams for end to end implementation of various regulatory requirements.
  • Develop, maintain and update regulatory inventory repository of IRDA Regulations, Guidelines and Circulars.
  • Conducting review meetings with business teams on new way forward on regulations, circulars.
  • Making periodic submissions and representations to IRDAI on various regulations/circulars and reviewing of SOPs.
  • Analysis of IRDAI insurance ordinance.
  • Timely submission of regulatory reports to various authorities on both regular and ad-hoc basis by coordinating with all the stake holders.
  • Conduct impact analysis of various penalty orders imposed by IRDAI along with the business teams.
  • Framing various internal policies of the Company for identifying and addressing the regulatory requirements in a systematic manner.
  • IRDA filings of marketing and advertisement material.
  • Intimating IRDA about Auditor's appointment/re-appointment, increase in directors remuneration etc.
  • Preparing compliance certificate on a quarterly basis and liaising with various business heads for placing the same in the Board.
  • Vetting of Outsourcing Agreements & Distance Marketing Scripts as per IRDAI Guideline perspective.
  • Participating in the product implementation projects from compliance perspective.
  • Coordinating and ensuring necessary interaction with IRDAI and Life Council for any query resolution, clarification, representation, etc.
  • Compliance & Reporting under SEBI Regulation, pertaining to Mutual Funds, Shares & Takeovers etc.
  • Preparation of various Reports to be submitted to SEBI, AMFI & Board of Directors of Trustee & Asset Management Company namely; Monthly Cumulative Report (MCR), Bi Monthly Report, Quarterly Report, NSR etc.
  • Maintenance of Compliance Manual, Updating Management on changes in regulatory environment.
  • Follow up on commitments/obligations to SEBI and other Regulatory bodies, and on compliance related audit/inspection observations and incidents for systemic corrections.


Location:

Mumbai

Branch:

Churchgate

Experience:

12 years - 18 years


Salary Range:

As per industry standard


Functional Area:

Head/VP/GM-Legal


Employment Type:

Permanent


Desired Candidate Profile:

Candidate Profile:

  • The candidate must be graduate from any discipline, preferable would be Banking/Finance
  • Must have minimum 5 to 7 years of relevant work experience into IRDAI compliance and mutual fund industry
  • Communication skills&Project management expertise
  • In-depth understanding of PMLA, Insurance laws
  • Ability to read and interpret the IRDA regulations and Laws
  • Collaborative, result oriented and Go-getter
  • Must be a team player


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Dayanand Team

Dayanand Shevale,
Area Manager,
Mortgage Sales

img   “My tenure with HDFC Sales has been eventful and fulfilling. I was assigned the role of a ’Subject Matter Expert‘. Meanwhile, I was detected with a severe medical condition which impacted my personal and professional life for around a year. Due to the flexible working environment and extended support by my peers and manager, I was able to see through my situation.”

Varoon Team

Varoon Joshua,
Territory Manager,
Mortgage Sales

img   “HDFC Sales is the first firm where I shifted my domain from HR to Sales & Marketing. The only experience that I brought to this job was people-management. My seniors were kind enough to give me the opportunity. As a Team Manager, I have learned a lot, built networks, grown from managing a team of 12 to now 48 people as an Assistant Sales Manager. 6 years on, I am still learning, building better relationships, understanding people and helping my team make the most of their experience with HDFC Sales.”

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