Regulatory Compliance & Risk Culture, Principal / Consultant
Core
Manage and mitigate regulatory risk with a focus on market conduct regulatory requirements, fostering a positive risk culture through advisory, engagement, and preventive programs.
Role type
Principal regulatory compliance consultant
Builds
Regulatory compliance frameworks and risk mitigation strategies for business functions
Domain
Insurance / Financial Services Regulatory Compliance
Required skills
Regulatory gap assessment, stakeholder engagement, regulatory liaison, compliance advisory, mentoring and coaching, project management, reporting to regulators
Preferred skills
LOMA certification, CMFAS certification
Technologies
Financial Advisers Act 2001, subsidiary legislations, guidelines, industry association memos
Responsibilities
Conduct gap assessments on new regulatory developments, liaise with key regulators and industry associations, provide ongoing compliance advisory to business functions, ensure regulatory compliance registers are up to date, mentor and coach team members, implement regulatory requirements at local level, complete timely reporting to regulatory/statutory bodies
Seniority
Principal, hands-on IC with strategic advisory