Role & Responsibilities:
• Support the Head of Risk and Compliance in fulfilling duties as the registered Compliance Officer of the company.
• Lead and support compliance matters and projects, including trend analysis, incident escalation and resolution report drafting, performing monitoring or assessment, and task management.
• Develop and prepare reporting to the Board, management committees and regulators on a regular basis.
• Creating and coordinating proper reporting channels for compliance issues, monitor metrics to help track compliance.
• Coordinating and scheduling required compliance training for employees.
• Develop company compliance communications, support and deliver training to promote a strong compliance culture and awareness.
• Perform and manage the annual policy and procedure review process.
• Where required, develop and / or support the development of new policies and procedures to support the changing business needs and environment.
• Advise on new rules, lead and support implementation of new regulations, industry consultations and internal policies and licensing.
• Maintain compliance documentation including obligations, business unit manuals, compliance notices/circulars, governance databases, risk assessments and compliance plans.
• Assist with the preparation and review of documents including marketing materials, risk disclosures, vendor contracts amongst others.
• Engage vendors as required to conduct testing on compliance related matters or for compliance related projects and closely manage any such assignments.
• Work closely with Legal and business providing compliance advice and solutions for growth and existing global businesses.
• Provide advice to the business in relation to regulatory compliance matters including, but not limited to, information security, data confidentiality and privacy, anti-bribery and corruption, fraud, AML/CTF, CDD/KYC due diligence, money laundering prevention and sanctions.
• Proven experience as a Compliance professional in a regulated environment.
• Strong knowledge of financial services regulatory guidelines and standards.
• Dynamic problem-solving mindset with exceptional communication skills.
• Experience of dealing with regulatory matters and confidence in interaction with the regulators.
• Ability to operate effectively in a changing environment with experience in leading projects/initiatives especially those involving compliance and transformation.
• Experience of working in an organization with global functions including reporting internationally.
• Good analytical skills with the ability to interpret complex legislation and policies and work with the various business units to ensure compliance.
• Demonstrated experience in and passion for financial regulations, compliance and technology.