Manager

Compliance Program Owner

• Participate in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices
• Responsible for timely delivery of all compliance activities as designated
• Proactively identify issues and report Self-Identified Audit Issues (SIAI) to Corporate Audit. Highlight gaps and risks as identified during internal review and ensure closure
• Review materials to ensure compliance with various regulatory and legal requirements, identify and address potential risks
• Monitor adherence to Compliance Risk Policies and relevant procedures
• Investigate and assist with responses to compliance risks
• Investigate regulatory inquiries, prepare required documentation, make recommendations to senior management on how to proceed, and prepare responses
  

Development of Compliance Program

• Keep abreast of internal policy changes to further identify new key risk areas
• Innovate and improve the existing process to reduce inherent risk for the function
  

Content

• Prepare, edit and maintain Compliance program related materials
• Control all documentation and procedures, finalization and timely release as per policies
  

Team Management

• Manage the Compliance team and drive strong Team culture to ensure completion of deliverables
• Mentor and guide team on all aspects of Compliance/Audit/Risk and govern training to enhance skillset for the role
  

Reporting and Data Analysis

• Analyze comparative data and prepare reports related to compliance risk assessments and compliance related issues
• Timely completion of all key reporting activities
  

Stakeholder Management

• Interact and work with other areas within the organization, as necessary
• Acts as SME to senior stakeholders/clients and other team members
  

Others

• Additional duties as assigned