Insurance Dekho - Manager - Compliance & Internal Audit

Description:

Key Responsibilities:

- Compliance Insurance Broking, Mutual Fund, Bonds & Loan

- Manage day-to-day compliance operations of the Program

- Advertisement reviews

- Prepare and file statutory documents with the Regulators

- Compliance thematic review

- Know Your Distributor (KYD) Compliance

- Sub distributor compliances

- Advertising & Sales Literature Compliances

- Code of Conduct adherence

- Track regulatory circulars and ensure compliances

- Annual compliance

- Thematic reviews

Internal Audit SPOC Role:

- Act as Single Point of Contact (SPOC) for external/internal auditors.

- Coordinate data requests between auditors and internal departments (Operations, Investments, Finance, IT, Sales).

- Maintain audit tracker and ensure timely submission of data.

- Track audit observations and follow up with respective teams for closure.

- Prepare audit response drafts for review by Compliance Officer.

- Maintain repository of audit reports, management responses, and compliance confirmations.

- Support management during Trustee reviews and regulatory inspections.

Cross-Functional Coordination (Startup Environment):

- Work closely with small cross-functional teams with high ownership.

- Provide compliance support.

- Support building compliance framework and internal controls.