Support business development and new products, ensuring compliance with all applicable regulations;
Educate employees on compliance issues, in acting as contact point for compliance queries, and in establishing policies and/or written guidance about the appropriate implementation of compliance-related requirements;
Advise management on compliance related requirements to ensure they act in accordance with laws and regulations;
Monitor new legal and regulatory developments that could impact retail business;
Disseminate regulatory issuances on a periodic basis or as and when required;
Review the periodic tracking/monitoring consistent with the Compliance Charts and Self‑Assessment Review checklists for made by the Department Compliance Coordinator (DCC) submission to the Chief Compliance Officer;
Assist in identifying and documenting the compliance risks associated with the Retail activities;
Provide advice with res...
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