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Job Description
- The Compliance Officer/ Compliance Associate is responsible for supporting the Head of Risk and Compliance in managing and overseeing the institution’s corporate governance framework and ensuring adherence to regulatory requirements.
- This role shall be responsible for corporate governance management, policy implementation, and compliance advisory.
- The Compliance Officer/Compliance Associate will also assist in regulatory compliance monitoring and reviews.
- Corporate Governance Management:
- Develop, implement, and maintain the corporate governance framework to ensure compliance with applicable laws, regulations, and best practices.
- Monitor and evaluate the effectiveness of corporate governance policies and practices, making recommendations for improvements as necessary.
- Ensure the organization’s corporate governance practices align with regulatory expectations and industry standards.
- Handle all matters related to Board Committee Meetings - presentation materials, records, minutes, execution and adequate reporting of action items as recorded
- Spearhead the license renewal and ACGR preparations of the Company
- Policy Implementation and Management:
- Assist in the development, review, and implementation of corporate governance policies and procedures.
- Ensure policies and procedures are effectively communicated and adhered to across the organization through conduct of regular training sessions
- Provide guidance and support to management and staff on corporate governance matters.
- Regulatory Compliance Reviews:
- Conduct regular reviews and assessments of regulatory compliance across various business units (particularly the regulatory submissions and fines)
- Identify potential compliance risks and recommend corrective actions to mitigate identified risks.
- Support the development and implementation of compliance monitoring and testing programs.
- Compliance Advisory:
- Provide expert advice and guidance on regulatory compliance matters to management and staff through the official review and consultation channel of Risk and Compliance.
- Stay current with regulatory changes and updates, ensuring the organization’s compliance programs reflect the latest requirements.
- Assist in the preparation and submission of regulatory filings and reports.
- Reporting:
- Prepare regular compliance reports to senior management and the board of directors.
- Maintain accurate records of compliance activities, findings, and recommendations.
- Support the documentation and communication of compliance related policies and procedures.
- Other responsibilities that may be assigned from time to time.
- Background in corporate and insurance laws
- New bar passers may submit their applications. Experience in corporate governance and regulatory compliance within the financial sector is a plus.
- Strong knowledge of corporate governance principles, regulatory compliance requirements, and industry best practices.
- Excellent analytical, problem solving, and decision making skills.
- Effective communication and interpersonal skills.
- Ability to work independently and manage multiple tasks and deadlines in a fast-paced environment.
- Detail-oriented with a strong commitment to accuracy and compliance.
Job Description
- The Compliance Officer/ Compliance Associate is responsible for supporting the Head of Risk and Compliance in managing and overseeing the institution’s corporate governance framework and ensuring adherence to regulatory requirements.
- This role shall be responsible for corporate governance management, policy implementation, and compliance advisory.
- The Compliance Officer/Compliance Associate will also assist in regulatory compliance monitoring and reviews.
- Corporate Governance Management:
- Develop, implement, and maintain the corporate governance framework to ensure compliance with applicable laws, regulations, and best practices.
- Monitor and evaluate the effectiveness of corporate governance policies and practices, making recommendations for improvements as necessary.
- Ensure the organization’s corporate governance practices align with regulatory expectations and industry standards.
- Handle all matters related to Board Committee Meetings - presentation materials, records, minutes, execution and adequate reporting of action items as recorded
- Spearhead the license renewal and ACGR preparations of the Company
- Policy Implementation and Management:
- Assist in the development, review, and implementation of corporate governance policies and procedures.
- Ensure policies and procedures are effectively communicated and adhered to across the organization through conduct of regular training sessions
- Provide guidance and support to management and staff on corporate governance matters.
- Regulatory Compliance Reviews:
- Conduct regular reviews and assessments of regulatory compliance across various business units (particularly the regulatory submissions and fines)
- Identify potential compliance risks and recommend corrective actions to mitigate identified risks.
- Support the development and implementation of compliance monitoring and testing programs.
- Compliance Advisory:
- Provide expert advice and guidance on regulatory compliance matters to management and staff through the official review and consultation channel of Risk and Compliance.
- Stay current with regulatory changes and updates, ensuring the organization’s compliance programs reflect the latest requirements.
- Assist in the preparation and submission of regulatory filings and reports.
- Reporting:
- Prepare regular compliance reports to senior management and the board of directors.
- Maintain accurate records of compliance activities, findings, and recommendations.
- Support the documentation and communication of compliance related policies and procedures.
- Other responsibilities that may be assigned from time to time.
- Background in corporate and insurance laws
- New bar passers may submit their applications. Experience in corporate governance and regulatory compliance within the financial sector is a plus.
- Strong knowledge of corporate governance principles, regulatory compliance requirements, and industry best practices.
- Excellent analytical, problem solving, and decision making skills.
- Effective communication and interpersonal skills.
- Ability to work independently and manage multiple tasks and deadlines in a fast-paced environment.
- Detail-oriented with a strong commitment to accuracy and compliance.