Acting as compliance officer
Compliance means that financial institutions ensure that their organization functions in accordance with the applicable laws and regulations. The integrity of everyone involved in the organization is an important condition in this regard. Financial institutions are responsible for safeguarding compliance and integrity and its execution in the organization.
As a compliance officer we monitor the organizations to see if they are compliant with applicable laws and regulations.
Our recent work include:
- Monitoring compliance with the compliance policies, in particular the Code of Conduct
- Providing awareness sessions regarding compliance and integrity
- Advising on compliance matters