Compliance Lead

Main purpose of the position:
Overseeing compliance violations, leading investigations (including Speak-up cases), conducting post-checks, and ensuring effective compliance controls are in place. This role will play a critical role in maintaining the integrity of our compliance processes and ensuring adherence to company policies, legal regulations, and ethical standards. This role will follow and check the compliance from other functions based on the guidelines/ policies developed by Compliance AM.
Job responsibilities:
1. Post-Compliance checks:
• Conduct regular and thorough post-compliance checks across departments to ensure adherence to company policies and legal regulations including ABC, Legal Compliance, 3rd party sense-check, non-legal compliance.
• Identify any gaps or areas of non-compliance and work with relevant teams to ensure the corrective preventive actions implemented.
2. Compliance management:
• Develop and maintain a system to track, monitor, and report on compliance violations and related actions.
• Identify key compliance risks across the business, provide insights/ input to support for mitigating those risks, and enhance the overall compliance system
3. Investigations/ Speak-up management:
• Lead and manage all investigations related to Speak-up matters, ensuring thorough and impartial examination of cases; Support L&C Head to work with the GIA to manage all Speakup matters.
• Coordinate with internal and external stakeholders to ensure investigations are conducted in line with company procedures and legal standards.
• Prepare comprehensive investigation reports and present findings to senior management and relevant committees.
Training & Awareness:
• Assist the Compliance AM or take responsibility for specific topics regarding execution in designing and delivering targeted training on compliance violations, Speak-up processes, and post-compliance activities.