Principal, Regulatory Compliance & Risk Culture
Core
Manage regulatory liaison and compliance advisory functions to mitigate compliance risks and foster a positive risk culture across business functions.
Role type
Principal, Regulatory Compliance & Risk Culture
Builds
Regulatory compliance frameworks, risk mitigation strategies, and regulatory reporting
Domain
Financial Services / Insurance / Regulatory Compliance
Required skills
Regulatory compliance advisory, Gap assessment, Regulatory liaison, Team mentoring, Project management, Presentation skills
Preferred skills
LOMA certification, CMFAS papers
Technologies
FATCA compliance tools, Regulatory compliance registers
Responsibilities
Provide ongoing compliance advisory and support to business functions on various business initiatives, Conduct gap assessments on new regulatory developments and ensure proper implementation, Oversee investment compliance related monitoring activities and FATCA compliance quality assurance, Liaise with key regulators and industry associations to address requests and queries, Provide necessary mentoring and coaching to enable staff to learn and perform with minimal guidance
Seniority
Principal, strategy & mentorship