Asst Manager, Compliance & Risk (Investigation)

The day-to-day activities:

• Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.

• Identify compliance issues that require follow-up or investigation.

• Disseminate written policies and procedures related to compliance activities.

• Work with local teams to ensure adequate oversight and monitoring in all required areas.

• Maintain documentation of compliance activities, such as training, advisory.

• Provide regular reporting on compliance matters.

• Consult with legal team as necessary to address difficult legal compliance issues.

• Collaborate with human resources departments to ensure the implementation of consistent disciplinary action in cases of compliance violations.

• Advise internal management or business partners on the implementation or operation of compliance programs.

• Provide employee training on compliance related topics, policies, or procedures.

• Take the lead in internal investigations for breach of compliance policies & procedures..

• Monitor compliance systems to ensure their effectiveness.

• Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.

• Design or implement improvements in communication, monitoring, or enforcement of compliance standards.

• Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.