GM - Compliance

Responsibilities

• Challenge and advise business and stakeholders to ensurepliance with internal policies and external regulatory requirements
• Assist in leading initiatives and managing projects and work streams
• Assist in designing and implementing risk and control frameworks
• Keep abreast of the regulatory development, advise on regulatory changes and interpretation of laws, rules and regulations to relevant stakeholders
• Ensure effective monitoring and implementation of the process, procedures, and controls
• Liaise with stakeholders for the handling or coordination of regulatory inquiries, audits, inspections, questionnaires and surveys
• Handlepliance issues, incidents, and breaches in conjunction with various internal parties, and prepare various MIS and incident reports
• Assist in periodic review, update and roll out of global and regionalpliance policies and procedures for Global Markets business and ensurepliance thereof
• Assist in the organization, administration and provision ofpliance training

Requirements / Qualifications :