Sr. Executive/Manager2-7-Andheri Mangalam Placement Pvt Ltd.

2.0 - 7.0 years

0 Lacs

Mumbai, Maharashtra, India

On-site

Role : Sr. Executive/Manager Location : Andheri Experience : 2 to 7 Years Qualification : LLB,CS Job Description : Preparation of Compliance Status file comprising of circulars issued by RBI/SEBI/MCA/HR/Finance and Labour laws for presenting the same before the Board. Review of application form, sanction letter for new products etc. with regulatory requirements. Policy updating in line with regulatory requirements & RBI Inspection. Implementation of Compliance tool, mapping of tasks to respective users and obtaining certificates from respective depts. Filing of ongoing periodic RBI Returns on a monthly/quarterly/annual basis. Vendor Risk Assessment - Risk rating for all non- business vendors. To monitor Cash and Suspicious transaction reports, new circulars issued by IRDAI/RBI and disseminating the same on a daily basis. Insurance Compliances-Filing of all returns, agreements and changes in events. Preparation of SOPs for RBI and IRDAI returns. Preparation of various PPTs, minutes and notes to agenda for Board and Committee meetings. Monitor implementation of Daksh advisories and obtaining a status on the implementation from various depts. To provide necessary data and documents for execution of corporate agency agreements Show more Show less

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EY India | Opportunity For Assistant Manager in Compliance - Insurance EY

3.0 - 8.0 years

10 - 14 Lacs

Pune, Mumbai (All Areas)

Hybrid

Role & responsibilities Lead and execute internal audits, process reviews, and compliance review assessments, ensuring alignment with business objectives and regulatory requirements. Identify control gaps and areas requiring improvement in business processes Perform control testing to assess the design and operating effectiveness of internal controls. • Understand regulatory expectations and industry best practices to provide insightful recommendations. Map regulatory expectations to existing processes and controls, identifying areas for improvement. Develop actionable plans to address identified gaps and document them effectively. Proactively engage with multiple stakeholders to ensure adherence to defined timelines and deliverables. Create and present status update presentations for clients on a periodic basis. Ensure the delivery of high-quality work and adherence to internal quality and risk management procedures. Anticipate and identify engagement-related risks, escalating issues as appropriate. Build and maintain strong relationships with clients (process owners and functional heads) and internal teams. Team Development & Knowledge Sharing Supervise and mentor junior team members, providing guidance and technical expertise. Foster a collaborative and high-performance culture within the team. Contribute to thought leadership, internal knowledge management, and development of best practices. Preferred candidate profile Strong understanding of internal audit methodologies, risk management, and regulatory compliance requirements. • Ability to work in a client facing and consulting role, with the ability to build networks and relationships • Strong analytical and problem-solving skills with solution-oriented approach • Excellent communication, and relationship-building skills with commercial awareness. • Strong project management and multitasking abilities. • Effective communication, stakeholder management, and presentation skills. • Ability to work independently while collaborating with multiple stakeholders. Qualification • Chartered Accountant (CA) / Company Secretary (CS) / Certified Internal Auditor (CIA) / MBA / PGDM in relevant disciplines. • 4-6 years of relevant experience in the insurance industry, specifically in risk advisory, internal audits, process reviews, or regulatory compliance. • Strong knowledge of the insurance industry • Knowledge or awareness of developments in Insurance regulation • Experience in handling client engagements and managing teams is preferred.

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