1. Compliance Program Development & Execution
- Design, implement, and manage the Ethics & Compliance (E&C) framework aligned with global and local regulations.
- Ensure adherence to company policies, industry standards, and regulatory requirements across their operations.
2. Regulatory & Risk Management
- Monitor, assess, and manage compliance risks, ensuring the business operates within a lawful and ethical framework.
- Maintain strong relationships with regulatory bodies, ensuring timely reporting and resolution of compliance issues.
- Implement control systems to detect and mitigate compliance violations (e.g., trade surveillance, suspicious activity monitoring).
3. Advisory & Stakeholder Engagement
- Provide pragmatic, timely, and strategic compliance advice to senior management, legal teams, and business units.
- Collaborate with internal teams on Values & Culture programs to enhance the ethical framework.
- Lead compliance investigations, including handling matters raised through speak-up channels.
4. Compliance Monitoring & Surveillance
- Oversee the compliance monitoring program, including transaction monitoring, business communications reviews, and trade surveillance.
- Investigate and resolve anomalies in trade data or potential regulatory breaches.
- Ensure proactive risk mitigation strategies are in place.
5. Training & Policy Development
- Develop and deliver compliance training programs across company to enhance awareness and ensure policy adherence.
- Provide guidance on regulatory changes, ensuring the business adapts to evolving compliance landscapes.
- Support the creation and enforcement of internal compliance policies and procedures.