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Job Description
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed;
- Conduct or direct the internal investigation of compliance issues;
- Assess product, compliance, or operational risks and develop risk management strategies;
- Identify compliance issues that require follow-up or investigation;
- Disseminate written policies and procedures related to compliance activities;
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes;
- Consult with corporate attorneys as necessary to address difficult legal compliance issues;
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations;
- Advise internal management or business partners on the implementation or operation of compliance programs;
- Review communications such as securities sales advertising to ensure there are no violations of standards or regulations;
- Provide assistance to internal or external auditors in compliance reviews;
- Prepare management reports regarding compliance operations and progress.
- Monitor compliance systems to ensure their effectiveness.
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
Job Requirements
- Tertiary qualification in Commerce, Finance, Economics or a similar discipline.
- At least 5 years of experience in either external or internal audit.
- Excellent analytical skills
- Innovative and Strategic thinking
- Well developed presentation and communication skills
- Sound interpersonal and negotiation skills
- MBA, CPA, CMA Holders are preferred
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