Compliance Executive

MAIN PURPOSE

This Executive assists in ensuring the financial institution complies with applicable laws, regulations and rules, as this is essential to preserving the integrity and reputation of the financial institution.

Ensure that all processes are audited frequently and improved based on risk assessment and internal audit result

ACCOUNTABILITIES

• Review, prepare and revise contracts and agreements (Sales contract, Supply agreement, non-disclosure agreement, etc..)
• Draft and prepare letters, correspondences, company communications and other legal documents
• Draft and/ or assist in writing internal policies
• File and record legal documents and other certificates, licenses of the company
• Research information for court cases and represent the company at the court
• Keep abreast of internal standards and changes in law affecting the company and its operations/ investments
• Collaborate with internal and external stakeholders when needed
• Collect samples from processes and evaluate it with design.
• Review processes design with process owners and control to enhance its control
• Other tasks assigned by Line Manager