Assistant Vice President - Regulatory Compliance

Job Purpose:
Assist in executing the annual GC Plan.
Assist in executing end-to-end operational Regulatory Compliance (RC) activities.

Roles and Responsibilities:

1. Group Compliance organization set-up:
   Ensure compliance with the approved Group Compliance processes and P&Ps during the execution of compliance engagements.
   Support the Director in administrative tasks (organizing department files, meetings, etc.).
2. 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 manner.
   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.
3. 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.
   Develop Risk Methodology based on the risk-based approach.
   Map to the process owners.
   Execute the Regulatory Compliance monitoring plan/program (quarterly audits).
   Conduct/Validate goAML assessment for all the subsidiaries across the group.
   Draft/Review/roll-out P&Ps after seeking relevant stakeholders' approvals.
   Provide support to other Compliance champions in the team.
   Oversee & manage outsourced compliance activities as applicable.

Related Years of Experience:
Minimum 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 preparing presentations for BoD/Senior Management.

Qualifications:
Bachelor's degree in accounting, finance, or engineering.
Preferred to have Compliance-related certification(s).

Company Industry:

Finance, Treasury

Keywords:
Assistant Vice President - Regulatory Compliance