Roles and Responsibilities :
Compliance is responsible for developing policies and procedures, surveillance, training, providing advice on anticipated and existing regulations and monitoring employee, client and firm activities. Compliance enables the firm to conduct business with confidence in extremely complex global markets.
- Provide guidance to internal clients on appropriate interpretation and application of internal and regulatory policies/procedures
- Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers
- Work with regional compliance in ongoing projects, responding to changes in the firm's businesses and changes in regulation
- Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm
- Taking ownership of processes and controls in the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
- Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology
- Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe
- Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
- Provide training on updated regulations and/or policies and procedures to the business
- Review and approve marketing materials from a compliance perspective
- Managing a team and regional stakeholders.