Compliance Manager-Regulatory Relationship

Job Requirements

Job Requirements

Role/Job Title –

Function/ Department

Job Purpose

Responsibilities

Roles & Responsibilities:

• Oversee all business operations relating to compliance including policies, investments, and procedures
• Design and monitor control systems to deal with violations of legal rules and internal policies
• Regularly assess the efficiency of control systems and recommend effective improvements
• Review and evaluate bank's procedures and reports to identify hidden risks or common issues
• Perform periodic audits on company procedures and processes, maintain and organize compliance records
• Draft compliance checklists, manuals and other regulatory documentation
• Coordinate with different department leads to review all departmental compliance policies
• Liaise with the senior management to ensure proper implementation of compliance policies
• Initiates investigations, when possible, non-compliance takes place within the bank
• Facilitate employee training sessions on legal and compliance issues
• Supervise compliance officers and team, share best practices
• Leverage in-house synergies through collaboration with internal stakeholders
• Keep abreast of regulatory developments within or outside of the bank as well as evolving best practices in compliance control
• Create an environment that promotes collaborative learning and collective ownership of responsibilities
• Attract and retain best-in-class talent for key roles in their reporting structure
  

Educational Qualifications

Experience: