Specialist: Compliance (Market Conduct)
Purpose:To analyse and Monitor Market Conduct risk indicators and to ensure that these risks are mitigated Duties & Responsibilities:1.Contribute to the efficient and effective functioning of Compliance FunctionAssist manager to ensure that compliance function are in compliance with law and industry and regulatory body requirements Promote prevention of legal and regulatory risk in the company (TCF)Maintain efficient and effective operations in Compliance Validate that policies and procedures with regards to Compliance Function are being adhered to. (TCF)Oversee the debarment processes are being adhered to within the Group2.Attend to regulatory and client complaints (TCF)Assist with investigation of regulatory and clients complaints (Ombudsman cases)3.Responsible for Compliance Monitoring and ReportingMonitor compliance risk, policies and procedures at Head Office and branches of Assupol GroupComplete monitoring reports for Compliance Manager Provide overall compliance assistance, guidance and advice to Assupol Group of CompaniesContribute to the development of compliance risk management plansContribute to the completion of compliance reporting (internal and regulatory)4.Provide Training and Awareness on Compliance MattersCreate awareness in Assupol Group of Companies with law requirements (TCF) Inform employees about relevant compliance mattersDevelop, educate and enabling healthy and business orientated compliance culture
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