Manager - Compliance & Internal Audit

As a Compliance Specialist, your role involves managing day-to-day compliance operations of the program. Your key responsibilities include: - Ensuring compliance in areas such as Insurance Broking, Mutual Fund, Bonds & Loan - Conducting advertisement reviews - Preparing and filing statutory documents with the Regulators - Performing Compliance thematic reviews - Overseeing Know Your Distributor (KYD) Compliance - Managing sub distributor compliances - Ensuring Advertising & Sales Literature Compliances - Adhering to the Code of Conduct - Tracking regulatory circulars and ensuring compliances - Handling annual compliance activities - Conducting thematic reviews Additionally, you will take on the Internal Audit SPOC Role by: - Acting as the Single Point of Contact (SPOC) for external/internal auditors - Coordinating data requests between auditors and internal departments - Maintaining the audit tracker and ensuring timely submission of data - Tracking audit observations and following up with respective teams for closure - Preparing audit response drafts for review by the Compliance Officer - Maintaining a repository of audit reports, management responses, and compliance confirmations - Supporting management during Trustee reviews and regulatory inspections In a cross-functional coordination setup within a startup environment, you will: - Work closely with small cross-functional teams with high ownership - Provide compliance support - Support in building compliance framework and internal controls No additional details of the company are present in the job description.