Job Specific Accountabilities
1. Understand and keep up to date with the business, products and the regulatory and commercial environment in which it operates to ensure that appropriate compliance policies, procedures and standards are developed and implemented
2. Execute control systems to prevent or deal with violations of the Compliance Program, including:
. Day-to-day trade and order surveillance and all related tasks including the development and embedding of relevant controls covering relevant regulatory requirements.
. Suspicious activity monitoring and working collaboratively with partners across the first and second lines of defence to determine the appropriate resolution of the matter.
. Reviewing relevant trade data and investigating any anomalies.
3. Regular reporting to Global Head of Compliance and AGT senior stakeholders on the foregoing.
4. Documenting relevant policies and procedures.
5. Evaluate the efficiency of controls and improve them continuously
6. Keep abreast of regulatory developments within or outside of AGT as well as evolving best practices in compliance controls
7. Responsible for special projects upon management request
8. Participate in the implementation and on-going monitoring of the Compliance Program to mitigate and effectively manage compliance risk
9. Develop and maintain relationships with relevant internal and external stakeholders, including regulatory authorities and ensure coordination and effective business partnership in conformity with Compliance Program
Operational
1. Handle the day-day transactional or ad-hoc advice for relevant stakeholders
2. Prepare senior management information and reporting regarding all compliance activities
3. Review the work of colleagues when necessary to identify compliance issues and provide advice or training
4. Provide regulatory advice and guidance
5. Assist the business with further developing regulatory solutions and ensure continued and ongoing regulatory compliance.
6. Provision of regular and ad hoc training to the business on regulatory or compliance issues
7. Support the set-up, implementation and operation of risk prevention tools
8. Collaborate with corporate stakeholders to monitor enforcement of standards and regulations
9. Assess the business’s future ventures to identify possible compliance or regulatory risks
Generic Accountabilities
Operational Plans
1. Develop consistent and realistic long- and short-term operational plans for the Department in line with the Division objectives and manage the implementation of the approved long- and short-term plans and ensure they are effectively converted into its performance objectives to realise the Division Objectives and established service levels.
Policies, Systems, Processes & Procedures
2. Develop and implement appropriate Department policies, processes, systems, standards, procedures and internal controls, Company guidelines in order to support execution of the Division’s work programs in line with Company and International standards.
Performance Management
3. Contribute to the development of the Division’s KPI’s and ensure proper cascade of the Performance objectives within the Department and establish monitoring mechanisms to ensure delivery of these objectives and promote a performance driven culture.
4. Contribute to the implementation of the Company Performance Management System for individuals within the Department in accordance with Company approved guidelines.
Risk Management
1. Contribute and support establishment of a Corporate Integrated Risk Management System within the Department, while identifying and assessing relevant domain risks and implement measures to manage and mitigate all identified risks within the Department.
2. Communicate corporate compliance policies and Company’s Code of Conduct to employees within the Department and ensure compliance with such policies.
Innovation and Continuous Improvement
1. Promote an organisation culture that encourages innovation, enhances employee motivation and supports initiatives for implementation of Change Management to continuously improve the Department operations and services.
2. Recommend improvements in internal processes against best practices in pursuit of greater efficiency in line with relevant standards in order to define intelligent solutions for issues confronting the Department.
Reports
1. Ensure that all Department progress reports are prepared to provide accurate and timely reports and necessary information to Company Management to effectively manage the business.
Competencies
1. Communications - must have strong oral and written communications skills. Ability to build and maintain relationships with customers and stakeholders
2. Teamwork - aligns actions to promote achievement of team goals, influences others’ activities toward group goals, inspires self-confidence in others, places high priority on team performance, helps others be successful, resolves conflicts and removes obstacles
3. Collaborative - works well with multiple groups including other business units to capture the best value
4. Attentive to detail - thorough in completing work tasks, quality reviews, uses time efficiently, highly numerate and disciplined, organized and comfortable working to deadlines, accuracy focused and diligent
5. Ethical and honest, high integrity and trustworthy
