Assistant Manager - Compliance - Financial Services

Preparation of Agenda Papers & Minutes:

- Agenda Papers: Assist in preparing detailed agenda papers for board and committee meetings.

- This involves gathering and organizing relevant information, synthesizing it into concise documents, and ensuring all necessary topics are covered.

- Minutes: Draft accurate and comprehensive minutes during meetings.

- Document discussions, decisions made, action items assigned, and any other pertinent details.

- Maintain these records meticulously for future reference and compliance purposes.

Attendance at Meetings:

- Facilitation: Attend board and committee meetings to facilitate smooth proceedings.

- This includes taking notes, providing clarifications when necessary, and ensuring all required information is readily available to board members for informed decision-making.

Regulatory Updates:

- Monitoring: Stay abreast of regulatory developments in the financial services industry.

- Assess how these changes could impact the company's operations and compliance requirements.

- Communication: Relay important regulatory updates to the Board of Directors (BoD) promptly.

- Ensure they are informed to aid strategic decision-making and ensure compliance with evolving regulatory standards.

- Coordination between Management and BoD:

- Liaison Role: Act as a bridge between the AMC's management team and the BoD.

- Facilitate effective communication, relay crucial information, and coordinate meetings or presentations as required.

- Issue Resolution: Address concerns or requests from either party promptly and professionally, fostering a collaborative environment.

Other Duties as Assigned by BoD:

- Flexibility: Undertake additional tasks or projects as assigned by the Board.

- This could involve research assignments, special projects, or other responsibilities aimed at enhancing board effectiveness and company performance.

Risk Management Support:

- Risk Identification: Assist in identifying potential risks relevant to the AMC's operations and governance structure.

- Assessment and Mitigation: Collaborate with the risk management team to assess identified risks and develop mitigation strategies.

- Board Awareness: Keep the board informed about significant risks to ensure they are addressed proactively.

Corporate Governance Compliance:

- Adherence: Ensure compliance with corporate governance best practices and regulatory requirements.

- Records Management: Maintain accurate records related to governance practices, facilitate board evaluations, and support the implementation of policies to enhance transparency, accountability, and integrity within the organization.