Assistant Compliance Officer

Duties and Responsibilities

-Assist the Compliance Officer to ensure that applicable legislation is being complied with by staff and reviewing and monitoring compliance processes as well as day-to-day compliance to legislation and regulations
-Assist in overseeing risk evaluation, audit, and regulatory compliance.
-Assist in providing regulatory advisory support and procedural review across the business financial operations.
-Assist in assessing and updating compliance measures, ensuring alignment with current government regulations.
-Participate in monitoring updates and developments in regulatory legislation, such as the Banking Act, and the Securities
-Reporting monitoring results to Compliance Officer in accordance with monitoring plan/schedule.
-Maintaining test sheets, working papers and monitoring plans.

Regulatory and Compliance Management
Investigate standard incidents using current regulatory and compliance processes, systems, and procedures, and take action to solve immediate compliance issues. Advise more senior colleagues on more complex problems.

Regulatory Affairs
Deliver preestablished outcomes and/or provide support services while operating within the organization's established regulatory and governance systems and protocols.

Document Preparation
Organize and prepare complex documents using a variety of applications for technology devices, such as standard office software. Also responsible for gathering and summarizing data for special reports.

Information and Business Advice
Resolve queries from internal or external customers or suppliers by providing information on complex processes and the related policies, referring issues to others where necessary for interpretation of policy.

Policies and Procedures Development
Develop, test, and maintain procedures and guidelines to support the organization in the implementation of, and compliance with, internal policies and/or external regulations.

Financial and Commercial Risk Identification
Identify and escalate commercial or financial risks for construction works, to aid risk management.

Recommendations
Provide information and clarification on existing procedures, processes, and precedents.

Training development and delivery
Run small training programs (or pieces of large training programs) for specific technical areas and help to prepare training content. Involves following established procedures and working under the supervision of senior colleagues.

Personal Capability Building
Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching; gain or maintain external professional accreditation, where relevant, to improve performance and fulfill personal potential. Maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media.