Vice President - Compliance - Financial Services - CS

Company Secretary-Compliance Officer-VP

Responsibilities of the Vice President - Compliance are to:

- To act as the responsible executive in Cmp Adv f in relation to Regulatory Compliance and Financial Crime risks.

- Articulate the Regulatory Compliance and Financial Crime risks .

- Primarily to support to maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices. With primary focus on area.

- Provide advisory services to business in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.

- Managing the relationship with relevant regulators on behalf of company.

- Be responsible for second line governance of Regulatory Compliance and Financial Crime risks exposures, providing analysis, reporting and governance to company that is independent of the first line of defense, thereby maintaining an objective assessment of risk exposure

- To support risk steward challenge, act as independent trusted advisory in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.

- Assist the senior management of company and other colleagues on all material compliance related matters.

- Assist Functional Head, in representing the Compliance agenda up to the highest levels of the INM / ASP governance, including being an attendee (as required) at the company s Board (and related sub-committees), RMM, NPOC, to report on progress and issues in relation to the operational effectiveness of company policies, processes, systems and controls in countering Regulatory Compliance and Financial Crime risks.

- Provide guidance on outsourcing, conduct, Commercial Paper listing, and all other aspects related to compliance in company

- Drafting, adopting group policies and making amendments are per local regulatory requirements

- Identify compliance related training needs for colleagues within company

- Perform Regulatory Affairs (RA) related activities

- Perform responsibilities of Principal Officer / MLRO like monitoring and reporting of all transactions and sharing of information as required under the law. He/ She will maintain close liaison with enforcement agencies, banks and any other institution which are involved in the fight against money laundering and combating financing of terrorism.

Principal Accountabilities: key activities and decision making areas:

The following principal accountabilities are aligned to the Compliance Services and Processes Model. Additional detail is available in the Model.