Head Of Compliance & Regulatory Affairs

Duties & Responsibilities

• As a Compliance Officer at a leading FSP, you will play a pivotal role in ensuring that our organization complies with relevant legislation efficiently and effectively. Your responsibilities will include :
• Providing legal advice and opinions to the management as needed.
• Offering support to the Compliance Department in the implementation of legislation and approval of debarment charge sheets.
• Keeping the company informed about the latest legislative developments impacting our business.
• Updating policies and procedures to align with legislation and ensuring they are written in plain language.
• Formulating and collating comments on proposed new legislation and communicating changes to line management.
• Organizing strategic sessions to discuss the potential impact of regulatory changes and coordinating feedback.
• Ensuring compliance with laws, regulations, and industry requirements by updating policies and procedures.
• Developing policies where necessary and ensuring that existing policies and procedures are updated in line with legislation.
• Strategically planning for business adjustments in response to legislative developments.

Regulatory Universe

Compliance Risk Management Plans (RMPs)

Advisory

Reputational Risk

Monitoring

Compliance Manuals, Standards, Policies / Procedures & Training

Regulatory Requirements

Compliance Culture

Feedback, Reporting & Escalation

Complaints

Broker Advisory & Intermediary Relations

Other

Business Planning / Decision Making

Value Management

Requirements : Formal Education

Experience

If you are a highly motivated and qualified professional seeking a challenging role in regulatory compliance, we encourage you to apply and be a part of the dynamic team. Join us in our commitment to compliance excellence.

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