Chqbook.com - Manager - Legal & Compliance - LLB/CS

Experience: Up to 5 years of experience in legal and Insurance compliance.

What will your role look like ?

- Supporting the Insurance broking business in remaining compliant within the regulatory environment and managing risk.

- Drive the identification, assessment, measurement, mitigation and monitoring of compliance risk pertaining to the business.

- Participate in the review of new business initiatives and transactions requiring pre-approval.

- Deliver independent risk assessments and reports that provide senior management with the risk profile of the firm.

- Manage regulatory inquiries and examinations in close coordination with the Principal Officer and CEO; Collaborating with other stakeholders like Business, Product, Operations, Technology, Legal, etc. to address compliance issues which may impact the function/business and develop approaches/ action plans to manage current and emerging risks.

- Create and Ensure adherence to the Manuals, Policies, and Guidelines, (e.g. Compliance Manual, Complaints Redressal Manual, Market Conduct Guidelines, Advertisement Guidelines, etc.)

- Impart training to the employees and sales force and improve awareness on regulatory compliances, AML, ethics, complaints case studies, and risk, Good Sales Practices by way of presentations, case studies, and modules

Who are we looking for?

- Upto 5 years of experience in Banking, Financial Services, and Insurance sector with experience primarily into Regulatory Compliance, Legal, Company Secretarial, and Due Diligence.

- Qualification : LLB / CS

- Exposure to requirements of the regulators viz. RBI, SEBI, IRDAI would be desirable