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The Compliance Manager ensures that the organization complies with all relevant laws, regulations, and internal policies while also managing administrative tasks that contribute to the smooth functioning of the business. This role is a blend of regulatory oversight and organizational management, ensuring both compliance and operational efficiency.
Key Responsibilities:
Compliance Oversight:
- Ensure the organization complies with all applicable laws, regulations, and industry standards (e.g., BSP, AMLC, and NPC).
- Develop, implement, and maintain compliance policies and procedures.
- Monitor regulatory changes and assess their impact on the organization.
- Conduct regular audits to assess compliance with internal controls and external regulatory requirements.
- Investigate compliance violations or breaches, recommending corrective actions.
- Coordinate with external auditors and regulatory bodies as needed.
Risk Management:
- Identify and assess compliance risks across the organization.
- Develop and implement strategies to mitigate identified risks.
- Conduct compliance training and awareness programs for employees to ensure understanding of policies and procedures.
Reporting and Documentation:
- Prepare and present regular reports on compliance status, audit results, and any ongoing issues to senior management.
- Maintain comprehensive and up-to-date records of compliance activities and administrative functions.
- Prepare reports and documentation for external stakeholders, including regulators and clients.
Policy Development and Enforcement:
- Collaborate with legal and other relevant departments to update and implement organizational policies.
- Ensure that policies are communicated effectively across the organization.
- Enforce compliance and administrative standards, including documentation and reporting protocols.
Team Collaboration and Support:
- Work with different departments (BD, Operation, Risk, Finance, Legal, HR, and IT) to address compliance issues.
- Provide support in administrative functions to other departments, ensuring a smooth flow of information and operational activities.
Skills and Qualifications:
- Education:
- Bachelor’s degree in business administration, Law (under Bar, or JD graduate), Finance, or related field.
- Experience:
- 5 years of experience in compliance, risk management, or administrative management.
- Prior experience in managing compliance or audit functions in a corporate or regulated environment is a plus.
- Key Skills:
- Strong knowledge of compliance regulations and industry standards.
- Excellent organizational and multitasking skills.
- Strong analytical, problem-solving, and decision-making abilities.
- Effective communication skills, both written and verbal.
- Attention to detail with a focus on accuracy and compliance.
- Ability to manage cross-functional teams and collaborate across departments.
Certifications:
- Relevant certifications such as Certified Compliance & Ethics Professional (CCEP), Certified Risk and Compliance Management Professional (CRCMP), or similar credentials is a plus.
The Compliance Manager ensures that the organization complies with all relevant laws, regulations, and internal policies while also managing administrative tasks that contribute to the smooth functioning of the business. This role is a blend of regulatory oversight and organizational management, ensuring both compliance and operational efficiency.
Key Responsibilities:
Compliance Oversight:
- Ensure the organization complies with all applicable laws, regulations, and industry standards (e.g., BSP, AMLC, and NPC).
- Develop, implement, and maintain compliance policies and procedures.
- Monitor regulatory changes and assess their impact on the organization.
- Conduct regular audits to assess compliance with internal controls and external regulatory requirements.
- Investigate compliance violations or breaches, recommending corrective actions.
- Coordinate with external auditors and regulatory bodies as needed.
Risk Management:
- Identify and assess compliance risks across the organization.
- Develop and implement strategies to mitigate identified risks.
- Conduct compliance training and awareness programs for employees to ensure understanding of policies and procedures.
Reporting and Documentation:
- Prepare and present regular reports on compliance status, audit results, and any ongoing issues to senior management.
- Maintain comprehensive and up-to-date records of compliance activities and administrative functions.
- Prepare reports and documentation for external stakeholders, including regulators and clients.
Policy Development and Enforcement:
- Collaborate with legal and other relevant departments to update and implement organizational policies.
- Ensure that policies are communicated effectively across the organization.
- Enforce compliance and administrative standards, including documentation and reporting protocols.
Team Collaboration and Support:
- Work with different departments (BD, Operation, Risk, Finance, Legal, HR, and IT) to address compliance issues.
- Provide support in administrative functions to other departments, ensuring a smooth flow of information and operational activities.
Skills and Qualifications:
- Education:
- Bachelor’s degree in business administration, Law (under Bar, or JD graduate), Finance, or related field.
- Experience:
- 5 years of experience in compliance, risk management, or administrative management.
- Prior experience in managing compliance or audit functions in a corporate or regulated environment is a plus.
- Key Skills:
- Strong knowledge of compliance regulations and industry standards.
- Excellent organizational and multitasking skills.
- Strong analytical, problem-solving, and decision-making abilities.
- Effective communication skills, both written and verbal.
- Attention to detail with a focus on accuracy and compliance.
- Ability to manage cross-functional teams and collaborate across departments.
Certifications:
- Relevant certifications such as Certified Compliance & Ethics Professional (CCEP), Certified Risk and Compliance Management Professional (CRCMP), or similar credentials is a plus.