
Internal Audit and Compliance Lead
4 days ago
Job Summary
As a Compliance Specialist, you will be responsible for ensuring that all internal processes are compliant with regulatory requirements.
Key Responsibilities:
- Coordinate internal audits, preparing checklists and issuing reports.
- Review findings and escalate non-compliance issues to senior management.
- Draft meeting agendas, minutes, and action plans.
Data Analysis & Reporting:
- Analyze data from exchanges and internal teams for compliance evaluation.
- Use analytics tools to generate reports and identify areas of improvement.
Limited Purpose Inspections (LPI):
- Scope and monitor LPIs based on risk triggers.
- Review regional office reports and share findings with regulatory bodies when required.
IT Coordination:
- Liaise with IT for system enhancements and UAT testing.
- Ensure accurate release of updates in the live environment.
- Coordinate BCP activities across offices.
Regulatory & Process Management:
- Drive process improvements and submit updates to the compliance team.
- Respond to regulatory queries and maintain compliance records.
- Manage awareness campaigns using regulatory data.
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