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Job Description |
Compliance
- Identify and lay out the compliance activities for the year and monitor the implementation of the plan accordingly.
- Provide compliance support on regulatory issues including review of marketing & training materials and outsourcing arrangements for regulatory compliance.
- Monitor branches or head office departments for compliance with internal policies and external regulations.
- Manage and monitor the Company’s exposure to anti-money laundering risks.
- Monitor remedial actions on compliance issues to ensure that issues are rectified and recommendations fully implemented by Management.
- Manage regional and regulatory reporting requirements.
Legal
- Promote legal support including review of legal agreements, managing safekeeping of executed legal documents and providing advice on legal issues.
- Provide legal opinion and advice to the management in order to assure that the company's interest is protected and there are no legal impacts within the operations.
- Identify and evaluate legal issues arising from commitments made by the company and advise and formulate appropriate resolutions for the same.
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