Liaising with the regulator for compliance‑related matters.
Keeping up to date with the relevant regulatory rules, regulations and requirements.
Review and draft of compliance and internal control procedures and ensure that they are in adherence with compliance manuals and all applicable legislation.
Ensuring that the Compliance Manual and related documents are kept up‑to‑date.
Providing guidance (and assistance where relevant) to senior management and employees on regulatory compliance matters.
Administering policies related to managing conflict of interests, personal account transactions, use of marketing material, etc.
Overseeing staff awareness and training on compliance matters; providing necessary compliance‑related training and supporting the enhancement of compliance culture.
Handling communications with the regulator,...
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