
Risk Management Professional
2 days ago
The primary responsibility of this role is to oversee and ensure the firm's adherence to regulatory guidelines.
Key Responsibilities:
- Monitor and interpret regulatory changes, ensuring timely implementation of required updates.
- Prepare and submit periodic compliance reports, regulatory filings, and returns as mandated.
- Daily/weekly/monthly transaction surveillance and compliance checks to identify and address potential issues.
- Internal audits and external inspections by statutory auditors to guarantee adherence to regulations.
- Drafting, implementing, and monitoring Insider Trading Policy and Code of Conduct to maintain a fair and transparent work environment.
Position Overview:
This role oversees the full spectrum of compliance functions for our business, including risk management and regulatory oversight.
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