Compliance Supervisor is responsible in the development and implementation of the Compliance Program in the following compliance activities:
Description
Key Result Areas (KRA)
- Management and implementation of the Regulatory Compliance Program.
- Conduct Investigation on cases involving intermediary violations against Market Conduct Guidelines and Code of the Sales and Business Conduct.
- Conduct Compliance Trainings: (1) Code of Sales and Business Conduct to Agents and Financial Advisors (during on boarding for new agents/ refresher existing agents ), (2) Code of Conduct and other Compliance Policies during on boarding for new hirees/refresher to existing employees in accordance with the training plan.Conduct Compliance Trainings: 1. Code of Sales and Business Conduct to Agents and Financial Advisors (during on boarding for new agents/ refresher existing agents), 2. Code of Conduct and other Compliance Policies during on boarding for new hires/refresher to existing employees in accordance with the training plan.
- Conduct Compliance Trainings: (1) Code of Sales and Business Conduct to Agents and Financial Advisors (during on boarding for new agents/ refresher existing agents ), (2) Code of Conduct and other Compliance Policies during on boarding for new hirees/refresher to existing employees in accordance with the training plan.Develop Compliance Testing Programs and Conduct Compliance Review and Testing as indicated in the testing plan.
- Conduct Compliance Trainings: (1) Code of Sales and Business Conduct to Agents and Financial Advisors (during on boarding for new agents/ refresher existing agents ), (2) Code of Conduct and other Compliance Policies during on boarding for new hirees/refresher to existing employees in accordance with the training plan.Perform Annual review and update of the Corporate Governance Scorecard.
- Conduct Compliance Trainings: (1) Code of Sales and Business Conduct to Agents and Financial Advisors (during on boarding for new agents/ refresher existing agents ), (2) Code of Conduct and other Compliance Policies during on boarding for new hirees/refresher to existing employees in accordance with the training plan.Manage the regulatory requirements of the Foreign Account Tax Compliance Act (FATCA).
- Conduct Compliance Trainings: (1) Code of Sales and Business Conduct to Agents and Financial Advisors (during on boarding for new agents/ refresher existing agents ), (2) Code of Conduct and other Compliance Policies during on boarding for new hirees/refresher to existing employees in accordance with the training plan.Conduct Compliance Risk Assessments.
- Conduct Compliance Trainings: (1) Code of Sales and Business Conduct to Agents and Financial Advisors (during on boarding for new agents/ refresher existing agents ), (2) Code of Conduct and other Compliance Policies during on boarding for new hirees/refresher to existing employees in accordance with the training plan.Establish, review, and update compliance policies, standards, and guidelines/functional rules.
Duties and Responsibilities
For KRA #1
For KRA #2
For KRA #3
For KRA #4
For KRA #5
For KRA #6
For KRA #7
For KRA #8
Technical and Job-specific Requirements
Interested? Send us an email at [email protected]