Conduct periodic internal reviews or audits to ensure that compliance procedures are followed;
Conduct or direct the internal investigation of compliance issues;
Assess product, compliance, or operational risks and develop risk management strategies;
Identify compliance issues that require follow-up or investigation; Disseminate written policies and procedures related to compliance activities; Maintain documentation of compliance activities, such as complaints received or investigation outcomes;
Consult with corporate attorneys as necessary to address difficult legal compliance issues;
Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations;
Advise internal management or business partners on the implementation or operation of compliance programs;
Review communications such as securities sales advertising to ensure there are no violations of standards or regulations;
Provide assistance to internal or external auditors in compliance reviews;
Prepare management reports regarding compliance operations and progress.
Monitor compliance systems to ensure their effectiveness.
Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
Tertiary qualification in Commerce, Finance, or a similar field.
At least 5 years of experience in either external or internal audit, compliance, or risk management.
Excellent analytical skills
Innovative and Strategic thinking
Well-developed presentation and communication skills