Regulatory compliance management

Regulatory compliance management continuously reviews applicable regulation and sets up the internal framework to ensure adherence to local regulation and international best practice. This includes but is not limited to:

  • Functioning as Appointed, Vetted Compliance Officer in Terms of Regulation
  • Assist / Advise Compliance Department as an Independent External Consultant (Adhoc, Scheduled, Temporary Support)
  • The Implementation of the Compliance Framework
  • Carrying out know your customer (KYC) and customer due diligence checks, as well as suspicious transaction monitoring and reporting on internal breaches etc.
  • The Review, streamlining and preparation of policies, procedures and internal controls in line with best practice and regulatory requirements
  • Preparing Compliance Reviews & Reports to Monitor Alignment with Regulation and Company Policies and Procedures
  • Monitoring, analyzing and sharing regulatory updates
  • Non Bank Financial Industry Regulatory Authority (NBFIRA) and other regulatory Licensing
  • Collective Investment Undertaking (CIU) licensing with NBFIRA
  • Preparation and review of client agreements
  • Monitoring of adherence to client agreements and PFR2 for NBFIRA regulated entities