Assistant Vice President - Group Compliance

Job Purpose

Assist in executing the annual GC Plan

Assist in executing end to end operational Regulatory Compliance (RC) activities

Roles And Responsibilities

• Group Compliance organization set-up:
• Ensure compliance to the approved Group Compliance processes, P&Ps during the execution of compliance engagements.
• Support the line manager in administrative tasks (organizing department files, meetings, presentations etc.) and in any other Group Compliance requirements.
  
  
  

Monitoring and reporting:

• Ensure the implementation of RC activities using a risk-based approach.
• Perform a periodic risk assessment of Regulatory Compliance obligations by the Group.
• Perform and complete the RC activities incorporated in the annual approved Compliance plan.
• Create, review and finalize agreed upon RC engagements ensuring their satisfactory closure in a timely matter.
• Ensure the appropriate documentation of all RC matters in a systematic and accurate manner.
• Support line manager to conduct requested Group Compliance related activities.
• Gather data and draft presentations/ materials for submission to the Board, Audit Risk and Compliance Committee (ARCC) and senior management where applicable
• Experienced in developing regulatory compendiums/repositories and mapping them to the process owners
  
  
  

Implementation of GC Plan:

• Ensure implementation and monitoring of a risk-based RC program across the Group
• Maintain Regulatory Risk Compendium for the Group as well as its subsidiaries
• Execute the Regulatory Compliance monitoring plan / program (ongoing monitoring)
• Develop Risk Methodology based on the Risk-based approach
• Meet with stakeholders & process owners
• Identify Regulatory Compliance requirements (filing practices, regulatory bodies & applicable regulations)
• Map to the process owners
• Develop & update individual tailored RC testing programs for each requirement.
• Conduct / Validate FCC assessment for all the subsidiaries across the group
• Draft / Review / roll-out P&Ps after seeking relevant stakeholders approvals
• Provide support to other Compliance resources within the Group
• Oversee & manage outsourced compliance activities as applicable
  
  
  

Related Year Of Experience

Min of: 8 years of experience in Regulatory Compliance. With experience in project management preferred

Field Of Experience

Real Estate or Banking Sectors (compliance department), Consultancies

Experience in a legal background is a plus

Technical And Interpersonal Skills

Excellent in RC knowledge, analyzing internal control gaps

Proficient in managing stakeholders for several ad hoc requests

Preferably has prior experience within:

(i) Listed Companies

(ii) ADAA Regulated entities

Proficient in the preparing presentations for BoD/Senior Mgmt.

QUALIFICATION

Bachelors degree in accounting, finance, or engineering