Compliance & Risk Management Manager (Legal)

Mô tả Công việc

Client Acceptance:

• Ensure compliance with client acceptance requirements, including anti-money laundering and conflict checks.
• Develop and improve client acceptance policies and procedures.
• Manage document procedures and conflict register.
• Support policy implementation and audits.
• Conduct client acceptance training.
• Drive adoption of standard acceptance procedures.

Risk Management:

• Manage risk register and support risk assessments.
• Lead in the preparation of self-assessment questionnaires.
• Review vendor/sales contracts for compliance.
• Provide legal advice to mitigate risks.

Insurance and Legal:

• Liaise on insurance requirements.
• Maintain legal and insurance claims register.
• Manage potential litigation and ensure timely reporting.

Data Protection:

• Continuously review data protection processes.
• Ensure compliance with local regulations.
• Schedule compliance training.
• Ensure privacy policies meet requirements.

Internal Audit:

• Coordinate with internal audit team.
• Ensure findings closure.

Policies and Procedures:

• Update and promote policies.
• Establish written policies and procedures.
• Drive process change improvements.
• Establish compliance metrics reporting.

Other:

• Discuss emerging compliance issues and develop strategic plans.
• Assist in compliance training program.
• Coordinate with law firms and legal consultants.
• Prepare management reports.
• Stay informed about industry changes.
• Participate in cross-functional teams.
• Monitor anti-bribery and corruption, money laundering, and fraud detection.
• Contribute to internal investigations.
• Maintain gift register for compliance.