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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

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