- Effective reporting and consultation with Head of Legal & Compliance.
- Coordination & Communication with other Divisions.
- Assist the Head of Legal & Compliance in all legal matters within the Group and its subsidiaries;
- Render legal support and advise various business divisions on legal and regulatory risks;
- Draft, advise and review commercial agreements and other legal documents to safeguard the Tricor�s interests and ensure compliance with internal policies, standard operating procedures, corporate policy and strategy and applicable laws ;
- Review and analyze commercial transactions to minimize business risk;
- Coordinate and liaise with external lawyers on various legal, corporate and litigation matters as well as on specific projects as required;
- Review internal policies and procedures and advise Management on possible legal implications and issues;
- Review ongoing contentious matters and update management from time to time;
- Liaise with business divisions to evaluate and provide solutions for legal problems and potential risks, to recommend corrective actions and maintain timely information in compliance with requirements of governmental agencies and laws;
- Communicate organizational policies and legal updates to promote understanding of legal rights and obligations as appropriate;
- Support the initiatives undertaken by the Legal & Compliance Department such as contribution to legal training materials;
- Attend to day-to-day legal matters such as updating legal document templates, research, etc;
- Attend to other tasks assigned by the Head of Legal & Compliance from time to time.
- Ensure compliance to relevant laws, regulation and guideline as well as their implementation across the company;
- Support the compliance procedures regarding the AML/CFT requirements in accordance with the applicable law, including the customer due diligence measures to control money laundering risk.
- Provides regulatory advisory to all compliance related enquiries from business units or branches;
- Conduct periodic internal reviews or regular assessment of compliance mechanism to ensure that it is effective and sufficient to address any change in the compliance trends;
- Conduct evaluation or direct the internal investigation of compliance issues or internally generated suspicious transaction reports by the business units or branches;
- Identify compliance issues that require follow-up or investigation;
- Assist in the establishment of written policies and procedures related to compliance matters;
- Prepare appropriate compliance reports to comply with regulatory agencies� requirements;
- Continuously monitor compliance with statutory obligations and advise management accordingly;
- Prepare monthly and quarterly reports for the department for executive management meetings;
- Ensure secure channel of communication from employees to compliance officer and information is kept confidential;
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes;
- Assisting in the maintenance of a central database, record keeping, work status updates, precedents, e-library, approval and other administrative processes for smooth, proper and efficient functioning of the department;
- Provide employee training on compliance related topics, policies, or procedures;
- Provide assistance to internal or external auditors in compliance reviews;
- Prepare management reports regarding compliance operations and progress;
- Ensure the documentation, communication and implementation of all compliance related regulatory policies and procedures