- Supporting the (build) of Tone and culture of the organization in line with the requirement of CIP;
- Implement and manage subsidiary compliance program;
- Propose and monitor risk mitigation plans identified during process review;
- Conduct or oversee compliance training and education, including formal training sessions to informal one-on-one instructions, internal compliance-related mailers;
- Policy drafting and administration of the Code of Conduct and Ethics.
- Developing and implementing compliance program including drafting of policies and processes, defining and implementation of system controls and monitoring the program for continual improvements;
- Perform intra-departmental interviews with key stakeholders involved in high-risk processes to verify compliance with established processes and applicable legislation;
- Advisory to internal stakeholders on applicable regulatory mandates;