A Compliance Officer ensures that the clients adhere to all regulatory requirement regarding financial transactions, procedures, processes and operations are compliant, relevant laws internal policies, and industry best practices. […]
Provide support and guidance to operations during internal/external audits
Act as independent reviewer and evaluation body to ensure that compliance issues/concerns within client area are being appropriately evaluated, investigated and resolved.
Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution...