Job Description
Role and Responsibilities (Compliance):
· Develop and maintain a positive and constructive relationship with the Regulators
· Ensure the effective implementation of the Firm’s compliance policies and procedures
· Perform monitoring and surveillance reviews in line with the compliance monitoring plan
· Provide support and guidance to staff on regulatory, policy and procedural issues and application
· Provide the senior management with compliance management information
· Assist with stakeholder enquiries and requests for information
· Identify, log an...