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  • 10 - 14 Years
  • Posted : above 1 month

Job Description:

KEY RESPONSIBILITY

Conduct sales process assurance reviews of the offices in Partnership Distribution and Group Channel

Identify the gaps in internal & regulatory compliance implementation and process controls

Coordinate with Biz Partner Management for closure of agreed improvement Action Plan

Monitor and certify the completion of improvement action plan

Design and implement Sales Process Reviews across CAT, Group and Banc assurance channels

Arrange Market Conduct & Compliance Training Sessions in New Employee Orientation across Non-Axis Channels

Assist Management in ensuring enhancement of control and Compliance in Partnership Distribution Channels

Support management in business partner engagement and enablement for ensuring sales compliance

Conduct Due-diligence Audits of upcoming new Corporate Agents before sign up

Support Management in enhancing awareness of Sales Personnel on ethical sales practices

Conducting the appropriate training sessions for sales executives on regulatory and compliance issues

Liaise with management for timely completion of periodic Compliance Certificates and the closure of identified gaps

Assist Management in enabling implementation of effective and robust Consequence Management on sales improprieties in Non Agency Distribution Channels a Ensure all cases of suspected Sales Malpractices are highlighted to Business Partners with the agreed timelines

b Wherever Process depletion found, ensure corrective and preventive actions are initiated as per the agreed process

Performing follow up review ensuring appropriate implementation of improvement action plans identified in various audits

Assist in developing and implementing compliance checklist for Distribution Management

Desired Candidate Profile

Bachelors degree in any discipline Overall 10 Years of Experience with more than 5 years in Audit, Risk Management, Process Quality, Compliance monitoring preferably in Finance industry Exposure to sales through MLM/ Financial Service Distribution/ / Brokers will be preferred
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Profile Summary:

Employment Type : Full Time
Industry : Automobile / Auto Ancillaries
Salary : Not Disclosed
Deadline : 08th Apr 2020

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