Overview

Responsibilities:

  • Monitor the changes and development on relevant local new laws, rules and regulations
  • Liaise with regulatory compliance and handle regulatory inquiries, audits, inspections, questionnaires and surveys
  • Handle local compliance issues, incident, and breaches in conjunction with various internal parties, where necessary, and prepare various MIS and incident reports
  • Prepare and update local compliance policies and procedures
  • Participate in various local compliance projects in relation to Global Markets Compliance

Experience:

  • Review new business and product proposals or transactions; and approve in accordance with delegated authority
  • Respond promptly to enquires on compliance related maters
  • Assist in the management of its compliance programme, such as review of marketing documents, conflicts identification and mitigations, carrying out compliance desk reviews,
  • Work with Surveillance team in following through of trade surveillance alerts
  • Periodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and providing guidance, interpretation and direction to stakeholders.
  • Assist stakeholders and compliance team to keep abreast of regulatory developments and in the interpretation of regulatory changes and their likely impact on the business and its processes, procedures, controls and products (gap analysis)
  • Assist in the execution of monitoring and control systems in place so that compliance related issues are readily identified and remedial actions implemented in order to minimize risk, and taking appropriate steps to improve its effectiveness
  • Assist in the production of periodic MIS and KPIs as directed
  • Assist in the organization, administration and provision of compliance training for new employees and as well as on-going training for all employees
  • Ad hoc requests such as participation in specific projects, as directed from time to time by the Head of GM Compliance APAC and/or Head of Compliance, APAC

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