Job Description
A Big Opportunity for ...
1. Overall Responsibility
• To make sure the company is in compliance of all the rules and regulations of the stock exchange and Securities and Exchange Commission and to update management and staff of any updates.
• Develops, initiates, maintains, and revises policies and procedures for the general operation of the ComplianceProgramme and its related activities to prevent illegal, unethical, or improper conduct.
• Develops and periodically reviews and updates Standards of Conduct and provide guidance to management and employees.
• Collaborates with other departments (e.g., Risk Management, Internal Audit) to direct compliance issues to appropriate existing channels for investigation and resolution.
• Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
• Acts as an independent review and evaluation body to ensure that compliance Issues/concerns are being appropriately evaluated, investigated and resolved.
• Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
• Provides reports on a regular basis, and as directed or requested, to keep senior management informed of the operation and progress of compliance efforts.
• Ensures proper reporting of violations or potential violations as appropriate and/or required.
• Works with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
• Monitors the performance of the Compliance Programme and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness.
2. Experience and Educational Requirements
• Good understanding of operations of the securities business/banking industry
• At least 3 years’ experience working in compliance/risk monitoring in a financial institution or a company related to financial services
• Good in English both writing and oral
• Must be computer literate and familiar with email, internet, Microsoft Office
• Good inter-personal skills and able to communicate well with all levels of staff