Manager/Assistant Manager - Project Compliance

Key Duties and Responsibilities:

Providing support in the Project Compliance function to promote a compliance-first culture within the organization and to improve various compliance processes within the organization.

Notable scope of work in providing assistance and support to the Head of Project Compliance include the following areas:

• Preparing timely and regular reports on the findings and analyses of compliance risk to EXCO, GBRMC, and BOD;
• Providing oversight and support to Business Units on general compliance matters/Group initiatives, including adoption of Group policies, standards, and guidelines where required;
• Conducting risk-based compliance reviews on business processes to identify gaps, escalate issues/risks promptly and work with Business Unit to implement timely remedial actions;
• Implementing an effective Regulatory Change Management process involving (i) communicating new /revised regulatory requirements with stakeholders, (ii) performing gap analysis against new/revised regulatory requirements, and (iii) working closely with relevant stakeholders to track progress of necessary actions in place;
• Assisting in the roll-out of compliance awareness and learning materials for employees/representatives;
• Maintaining awareness of industry trends on regulatory compliance, emerging threats, and technologies in order to understand risks and safeguard organization’s interest;
• Continuously looking for ways to improve existing compliance processes;
• Identifying learning and growth opportunities for self, and thus ensuring career growth;
• Providing support in engaging with Product Documentation Review Committee (‘PDRC’) throughout the product development process to ensure that material compliance and regulatory risks related to products are identified and appropriately mitigated for new and existing products, marketing campaigns, and other related activities;
• Assisting in providing quality reviews on product related marketing literature (e.g., Proposal Forms, Product Illustrations, Product Disclosure Sheets) to ensure adequate disclosure, and transparency of key features & benefits to promote informed decision-making by customers as well as fair treatment to customers;
• Developing and maintaining effective governing documents overseeing the identification, assessment, and monitoring of compliance risk on business initiatives including ad-hoc initiatives and key organization projects;
• Proactively engaging with internal and external stakeholders to ensure that the organization’s compliance objectives and priorities are aligned with business direction and regulatory expectations;
• Performing related duties as assigned by the Chief Compliance Officer, Head of Project Compliance, or other senior members of Compliance Department;
• Ensure compliance with Company and Regulatory policies and regulations. Other duties as required by the Management.