Senior Compliance Manager

Job description

Key Result Areas Supporting Actions Compliance Management for Insurance & investment • Manage compliances in a timely and orderly manner in all regulatory matters under corporate laws, SEBI, MCA, stock exchanges and RBI. • Experience in Managing compliance for Mutual fund, AIF,PMS & Digital Metal. • Review and file required documents, returns, and clarifications to IRDAI,AMFI, SEBI as necessary. • Ensure timely compliance with all applicable IRDAI, IRDAI,AMFI, SEBI obligations, reporting, and filings • Collaborate with the Partnership and Legal team for compliance-related matters and contract reviews. • Manage regulatory inquiries. • Identify potential compliance risks, gaps in processes, or areas for improvement within the organization. • Assist senior management and business units in making compliance-conscious decisions that align with IRDAI, IRDAI,AMFI, SEBI regulations. • Obtain necessary licenses and registrations from regulators/authorities, if required. Monitoring • Monitor statutory compliances and follow up regularly with internal teams to complete filings within prescribed timelines; • Develop guidelines, SOPs, document templates as may be required from compliance perspective and as good governance; • Keep abreast of the regulatory changes & come up with the implementation plan Stakeholder Management • Interact with auditors, regulators, and other internal as well as external stakeholders.