Compliance Officer cum Corporate Secretary
Job Summary
Compliance Officer cum Corporate Secretary
- Minimum Qualification: Bachelor
- Experience Level: Management level
- Experience Length: 5 years
Job Description/Requirements
Responsibilities of Compliance and Risk Management Officer
- Develop and implement an effective legal compliance program
- Create sound internal controls and monitor adherence to them
- Draft and revise company policies
- Proactively audit processes, practices and documents to identify weaknesses
- Evaluate business activities (e.g. investments) to assess compliance risk
- Collaborate with external auditors and HR when needed
- Set plans to manage a crisis or compliance violation
- Educate and train employees on regulations and industry practices
- Address employee concerns or questions on legal compliance
- Keep abreast of internal standards and business goals
- Perform risk assessments to understand risk level, significance and scope
- Ensure that findings are recorded and followed up with management so that issues can be rectified
- Investigate irregularities and non-compliance issues
- Report back to business functions on current risk and compliance performance
- Highlight or escalate areas of concern
- Contribute to robust and effective compliance controls within the organization
- Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
- Assist in the gathering of internal information in response to regulatory requests
- Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects)
- Collaborate with other departments to create a culture of compliance
Responsibilities of Corporate Secretary
- Convening and servicing annual general meetings (AGMs)/meetings (producing agendas, taking minutes, conveying decisions, handling meeting correspondence and so on)
- Providing legal and/or strategic advice during and outside of meetings
- Training directors and members of the senior leadership team on corporate governance matters
- Keeping up to date with any regulatory or statutory changes and policies that might affect the organisation
- Ensuring that policies are up to date and are approved
- Providing support to the board or other committees on specific projects
- Acting as a point of contact and building good relationships with shareholders
- Implementing processes or systems to help ensure good management of the organisation or compliance with legislation
- Writing reports and collating information

