1. Compliance Framework Development:
Design and iteratively enhance the corporate compliance management system. Interpret regulatory policies to establish compliance review standards and workflows, ensuring business activities align with legal, regulatory, and industry requirements to mitigate systemic compliance risks.
2. End-to-End Business Compliance Review:
Conduct comprehensive compliance assessments across all business stages, including product design, disclosures, and marketing strategies. Identify latent risks, propose corrective actions, and drive closed-loop remediation to ensure operational legality and risk containment.
3. Internal Control & Risk Governance:
Lead or support critical business initiatives with risk forecasting and mitigation strategies. Develop anti-fraud frameworks, investigate issues like bribery and embezzlement, and strengthen internal controls to foster an ethical corporate culture.
4. Compliance Training & Culture Building:
Develop compliance manuals and guidelines, delivering organization-wide training and anti-fraud awareness programs. Produce periodic compliance reports to inform executive decisions and embed compliance into corporate culture.
5. Regulatory Engagement & External Relations:
Liaise with regulators for compliance reporting and inquiry responses. Maintain external partnerships and participate in industry forums to align corporate practices with regulatory expectations, minimizing penalty risks.
6. Digital Compliance & Analytics:
Drive digitization of compliance tools (e.g., risk monitoring systems, anti-fraud platforms). Build data models to enhance review efficiency and predictive risk capabilities, enabling agile and compliant business operations.
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