Job Descriptions-
- Lead the compliance function in the firm; ensuring compliance with regulations, legal requirements, policies and frameworks;
- Prepare concise and extensive compliance reports to the Board;
- Establishing guidelines and implementing frameworks to ensure the compliance program is robust and capable of identifying, mitigating, noticing and rectifying non-compliance with the relevant regulations;
- Interface with regulators and external auditors on all compliance matters;
- Independently investigating all matters in regards to compliance;
- Provide compliance advisory to the relevant business units and senior management
- Conduct compliance reviews and monitoring, working closely with the regulators
- Provide guidance to senior management on the latest regulatory developments
- Spearhead training and update relevant policies when there are changes to the regulatory
- Responsible for the KYC/AML frameworks