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Review and update Compliance Policies on Balanced Scorecard ("BSC") Framework
Conduct regular Compliance workshops to build competency across business functions.
Regulatory Development and Corporate Compliance:
Research and provide compliance related advice on new and strategic business developments.
Develop and maintain the framework for assessing the adequacy of business processes and controls to meet relevant regulations, directives, rules and guidelines.
Provide advisory on the appropriate business processes and controls needed to comply with relevant regulations, directives, rules and guidelines, including those identified as gaps through self-assessments.
Assessment of breach or non-compliance with relevant regulations, directives, rules and guidelines, with inputs from Legal (where necessary)
Conduct special reviews on regulatory matters where required
Develop and maintain framework for reporting on compliance matters
Prepare reports for management and board committees
Report on local conduct issues and regulatory compliance
Respond to queries and assessments
Develop and maintain an effective governance operating model:
Advice on policies, procedures and controls that must be in place to deliver compliance.
Monitor and assess the effectiveness of measures taken by the business.
Monitor, manage, document material contacts with the regulator.
Monitor and provide support to business to ensure prompt and appropriate reporting and resolution of any regulatory breach or other regulatory issues
Liaise with regulators and Regional/Group office
Represent Compliance in meetings or workgroups to address regulatory matters. Assess the adequacy and competency of Compliance resources.