Responsibilities:
- Review and update compliance policies and procedures
- Drive and manage compliance related projects
- Act as a subject matter expert on relevant regulations and policies
- Advise management and employees on compliance matters and keep informed about regulatory developments
- Provide advice and influences to business functions on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs
- Liaise with regulatory authorities on compliance related enquiries
- Review and assist on regulatory filings and related administrative communications
- Represent and interact with examiners/auditors during internal, external and regulatory examinations
- Ascertain training needs and conduct training necessary for staff and management
- Make recommendations to senior management on strategy and new initiatives, based on an in-depth understanding of the business
- Identify enhancements to the firm's compliance measures and processes and communicates to required stakeholders
- Broader work or accountabilities may be assigned by management as needed