AU Small Finance Bank – Manager/Senior Manager – Compliance – Insurance Domain (3-8 yrs)

Brief Objective of Position & Its Contribution to the Business:

The position will be responsible for building a control driven environment within the function by ensuring regulatory and process related Compliances & reviewing and strengthening internal processes and controls of the function

Key Responsibilities

Job Responsibilities:

– Compliance

– Internal Review

– Process

– Risk – Ensure adherence to IRDAI and PFRDA regulatory requirement of the function

– Implement and drive a Compliance Culture by creating awareness on Compliance related aspects

– Support Central Compliance team in timely and correct filing of regulatory returns and other submissions

– Advice stakeholders on Compliance / Process related aspects by vetting and adding value to proposed business propositions and processes.

– Document and strengthen the existing processes of the function with support of process owners

– Carry out internal reviews and strengthen controls addressing key risks of the function

– Represent function to Internal / External Auditors and timely closure of observations

– Manage Agreement portfolio of the function.

– Effective co-ordination and relationship building with key stakeholders

Performance Measures:

Measure Deliverables from the role Key Outputs/Results from the Role

– Robust Internal control environment of the function

– Adherence to regulatory requirements in law and spirit

– Timely submission of regulatory returns and submissions

– Timely and effective closure of audit points

– Repository of all the processes of activities performed by the function

– Seamless management of Internal Legal documentation

– Quick TAT in execution

Job Specification (Competencies required to perform the role) :

Qualifications CA/CS or inter passed CA / CS having insurance domain experience of preferably 2-3 years from Audit or Compliance Function. Also experience in process understanding and documentation with complement the role.

Experience :

– Specific Candidate must be from Insurance or Banking or NBFC Industry exposure either in Industry or consultancy.

Knowledge and skills required : –

Owns responsibilities and delivers on them

– Excellent written and verbal communication skills.

– Highly process driven

– People person and team player

– Eye for details.

– Positive and solution-oriented attitude

– Capable of working independently


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