General Manager Compliance & Legal recruitment
• Development and implementation of compliance process
• Conducting regular auditing, complete audit reports, face to face meetings with advisers to discuss weekly audit report for files reviewed, regular checks on ensuring managers and advisers are meeting minimum regulatory and Company supervisory requirements;
• Team management
• Document and Policy management
• Complaints Handling
• Managing legislative and regulator issues and act as first point of contact with regulator, proof-read all documents to be provided to regulator, research and knowledge of industry regulations and update management on legislative changes and the implications on the Company;
• Internal reporting through weekly report (detailed) to be provided to CEO and Group Compliance Director
• Ensuring compliance with regulator policies and procedures, licence conditions and common law principles that would be likely impact investors or damage the company’s standing in the market place;
• Ensuring ongoing compliance by advisers in accordance with current regulations and laws and any breaches are reported appropriately and the regulator notified; and
Setting policy direction through out Compliance team and overall company strategy of fair dealing to the customers.