- Develop and implement an effective compliance framework and ongoing compliance monitoring programs.
- Identify any potential compliance risks and develop precautionary measures by developing and maintaining an effective internal compliance alert system
- Supervise the relevant business lines to ensure compliance with the applicable ordinance, rules and regulations at all times
- Coordinate and liaise with regulatory authorities for regulatory enquiries, reporting, inspection and investigation
- Provide compliance oversight and support to business development proposals directed by senior management or strategic business units
- Promote compliance awareness and culture within the firm and provide internal compliance training as appropriate
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