Ensure that sales are performed, sales & material kit used in accordance with law & regulation.
Supporting business by actively giving an advisory, and monitoring sales & marketing activities through the DUA report.
Manage and coordinate all compliance activities and ensure the company complies with all regulations both internal and external.
Monitoring Administration of Company Business Processes, RACI, and SOP including registration of documentation.
Monitor the implementation of GCG.
Raise employee awareness of compliance culture in carrying out their work.
Manage and ensure company organizations including function and committees comply with regulation.
Ensure that companies are not used as a means for money laundering (AML) and terrorism (CFT) by actively conducting training & awareness to the sales force and employees.
Develop, implement, and maintain Anti-Bribery and Anti-Corruption policies, standards, and procedures.
Oversee the implementation of data privacy policies, standards, and controls across business units.
Monitor sales practices to prevent mis-selling, misleading information, or unfair treatment of customers.
Provide guidance to business units on market conduct regulations and expectations
Requirements:
Bachelor's or master's degree in Law or from relevant background study.
Have 8-10 years of experience as Compliance in Financial Industry.
Have AML/CFT, Risk Management CFE certification.
Good analytical, investigation and problem solving skill.
