Job Description

RESPONSIBILITIES

:
  • Compliance Policies and Training
  • Develop and update Compliance policies in response to business changes, industry developments and/or regulatory changes.
  • Review existing Compliance policies on periodic basis.
  • Conduct Compliance training to employees to educate them on Compliance policies. This includes regular new hire training, periodic refresher training as well as customized, bespoke training as required.
  • Regulatory and Licensing
  • Ensure new/revised regulatory guidelines, consultation papers and other regulatory related matters are reported, reviewed and the relevant policies and guidelines are updated timely.
  • Manage license applications/cessations and related licensing reporting requirements.
  • Marketing/Distribution Compliance
  • Carry out review of all marketing materials/RFPs/RFIs/website to ensure adherence with relevant regulatory requirements.
  • Pr...

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