Job Description
Job Responsibilities:
- Advise portfolio of clients in the financial services industry on ongoing regulatory obligations under the applicable regulations
- Prepare and submit regulatory filings, returns, and notifications
- Develop and review regulatory compliance frameworks, registers, policies and procedures
- Conduct reviews of business processes and internal controls to identify gaps, assess risks, and recommend remediation measures
- Liaise with regulatory authorities and external auditors on compliance-related matters
- Translate regulatory rules and guidance into pragmatic, fit-for-purpose solutions for clients
- Monitor regulatory developments and provide actionable advisory on their impact to clients’ business operations and compliance frameworks
- Support and execute ad hoc projects, including regulatory mock inspections and AML/CFT due diligence reviews
- Assist in the development and delivery of c...