Compliance (Personal Trading Compliance)

Job description

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 .