Assistant Compliance Manager

Key Duties and Responsibilities:- Regulatory Compliance To develop, establish and/or maintain an effective and broad-based compliance assurance program designed to establish compliance standards and to monitor, detect and prevent compliance deficiencies including recommending corrective actions when necessary to fully meet compliance requirements. To conduct gap analysis and monitor the implementation of new requirements until closure To be involved in control designing to ensure controls put in place are adequate and effective. To manage BNM/PIAM’s queries and requests which includes compilation and coordination work. To coordinate quarterly compliance risk assessments and risk register updates. To manage and monitor requirements imposed by BNM on ad-hoc basis. Training, Ethics and Market Conduct To assist in maintaining an effective compliance communication program for the organization, including promoting (a) use of the compliance hotline, (b) heightened awareness of Code of Conduct, regulatory and statutory requirements and (c) understanding of new and existing compliance issues and related policies and procedures. In coordination with Regional and Global Compliance, to work with Human Resources as appropriate to develop an effective compliance training program. This includes both initial (for a new employee or a change in regulatory, policy or procedures requirement) and periodic training to ensure all employees know their individual responsibilities relative to compliance issues. To review advertising materials and market conducts. Others To assist in the implementation of all AMLCFTTFS requirements, regulations, policies, and controls. To assist in the implementation of anti-bribery and corruption requirements, regulations, policies, and controls. To assist, monitor and manage incidents including escalation and investigation and compliance review. Any other duties as assigned from time to time

• Regulatory Compliance
• Training, Ethics and Market Conduct
• Others

• Minimum 7 years’ experience in compliance, legal and regulatory compliance, or corporate governance experience.
• Preferably to have experience in the insurance or financial industry.
• Preferably possess the relevant professional certification in Compliance.

• Regulatory Compliance
• Training, Ethics and Market Conduct
• Others

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