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Associate Compliance-regulatory Relationship
1 month ago
**Job Title**:
Associate Compliance
**Function/ Department**:
Compliance
**Job Purpose**:
The role entails the responsibility to support Compliance Manager in ensuring bank's policies and procedures comply with regulatory and ethical standards.
**Roles & Responsibilities**:
Support all business operations relating to compliance including policies, investments, and procedures
Monitor control systems to deal with violations of legal rules and internal policies
Regularly assess the efficiency of control systems and recommend effective improvements
Assist in performing periodic audits on company procedures and processes, maintain and organize compliance records
Implement compliance checklists, manuals and other regulatory documentation
Prepare compliance reports by collecting, analyzing, and summarizing information
Keep other departments abreast of requirements by researching regulatory and filing information; writing and communicating guidelines
Support investigations when possible non-compliance takes place within the bank
Facilitate employee training sessions on legal and compliance issues
Respond to all compliance queries, maintain effective relationships with other departments
Leverage in-house synergies through collaboration with internal stakeholders
Keep abreast of regulatory developments within or outside of the bank as well as evolving best practices in compliance control
**Educational Qualifications**:
**Graduation**: Any Graduation
**Experience**:
Minimum of 3+ Years in Compliance
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