No. Of Openings : 1

Grade : 4

Designation : Manager - Compliance

Experience : 5 Years To 7 Years

Location : Gurgaon

KEY RESPONSIBILITIES:

1. Manage Compliance Reviews:

- Creating the Compliance Review Program / work plan

- Carrying out independent and in-depth compliance reviews for corporate functions, branch offices, intermediaries, and third party service providers including outsourcing reviews

- Prepare work papers documenting the review procedures performed and prepare review reports

- Formulating process of tracking and closing identified compliance issues

- Follow-up to determine the implementation of corrective and preventive actions - Track and validate implementation status of highlighted issues

- Ensuring record maintenance of all compliance reviews for future review and record retention purposes

- Close looping of completed reviews with respective process owners / branch heads for review closures

- Reporting key compliance outages in various management committees and the Board subcommittees like Audit Committee/Risk Committee

2. Manage Investment Compliance:

- Creating and updating Model Code of Conduct for Investment Professionals as per SEBI (Prohibition of Insider Trading Regulations), as amended from time to time and IRDAI Investment regulations

- Maintaining a list of Connected Persons under the Code

- Obtaining periodic self-declarations from the Connected Persons within defined timelines in accordance with the Code

- Assisting Chief Compliance Officer in evaluation and providing trade approvals / rejections for trade requests to the Connected Persons within defined timelines in accordance with the Code

- Annual review of adherence to the Code

Carrying out

3. Manage execution of Quarterly Compliance Checklists (QCCs) along with analysis of the completed QCCs to gauge adherence levels to various compliance requirements in various Corporate Agents.

Carrying out special projects/reviews as may be assigned from time to time.

MEASURES OF SUCCESS

- Completion of the reviews as per the defined review calendar

- Publication of review reports to various stakeholders with requisite documentation / annexure within specified timelines

- Effective tracking of the open issues with respective stakeholders for closure of highlighted issues by target dates

- Tracking of issues raised, closed, issues remaining open/ past due

- Line management feedback received on work carried out, e.g., communication protocols, timeliness and quality of recommendations

- Timely reporting of compliance issues in various Management and Board Committees

- Timely updation, execution and analysis of the Quarterly Compliance Checklists

- Ensuring timely communication and awareness of Max Life's for Personal Investments/Trading in Securities to the Connected Persons

- Ensuring adherence to the Code Connected Persons by obtaining requisite declarations and review of documents

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