TN Frank

Responsibilities:

• Responsible for the support and implementation of compliance efforts and promotion of an ethical and legally compliant business culture.
• Partner with senior management and regional compliance teams to achieve desired compliance results.
• Accountable for ensuring participation and execution of compliance standards in the areas of Compliance policy enforcement, Professional Standards, Client Service Agreements, E&O, Learning (HR).
• Actively participates on appropriate executive, leadership, and/or operating committees, so as to ensure the Compliance function is integrated with business operations.
• Responsible of managing regulatory relationships and reporting requirements.
• Responsible for conducting process reviews with members of the local office and/or department compliance network to ensure transparency processes and procedures are effectively implemented and utilised.
• Responsible for ensuring all TPP submission, renewal and payment comply with company policy and procedure as well as to ensure on time submission and renewal.
• Interprets regulations/directives and global/regional policies as well as develops procedures, policies, processes and training to support the compliance function in conjunction with all internal and external standards/regulations and communicates and executes within the country/practice.
• Authorised to investigate all compliance and procedural issues including recommendations to the Risk and Compliance committees for consequences of potential non-compliance based on facts identified through the investigation process under auspices of Internal Review & Response.
• Provides input to senior operational leadership on the status of compliance, transparency, and overall professional liability performance of colleagues.
• Responsible for implementing an effective E&O network and ensuring effective processes exist to address E&O Prevention (Pre Loss) and Mitigation (Early Intervention Committee Reviews Oversight).