Manage Compliance Reviews:
Creating the compliance review program / work plan
Carrying out independent and in-depth compliance reviews for corporate functions
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 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 for review closures
Reporting key compliance outages in various management committees and the Board subcommittees like Audit Committee/Risk Committee
Manage compliance under SEBI (Prohibition of Insider Trading) Regulations
Updating Model code of conduct (“Code”) for Access Persons as per SEBI (Prohibition of Insider Trading Regulations), as amended from time to time and IRDAI Investment regulations
Maintaining a list of Access Persons and obtaining periodic self-declarations within defined timelines in accordance with the Code
Assisting Chief Compliance Officer in evaluation and providing trade approvals / rejections for trade requests to the Access Persons within defined timelines in accordance with the Code
Review of adherence to the Code
Carrying out
Coordinate with all relevant stakeholders and ensure smooth conduct of regulatory inspections/observations end to end, with minimum regulatory outages
Build compliance culture
Contribution in various initiatives/activities for promoting compliance culture within Axis Max Life
Bringing and executing new ideas to promote compliance culture
Carrying out special projects as may be assigned from time to time
Work experience
Minimum 9+ years
Qualification
CA/LLB/CS/MBA
