Head, Capital Markets & Non-Broking

Developing, implementing and managing the compliance program. Coordinating and scheduling required compliance training for employees. Identifies risks that the organization faces and advises on how to avoid or address them. Keeping the Senior Management, Board of Directors and regulators informed on compliance issues.

Liaise with regulator on regulatory matters to understand their expectation and ensure that all regulators’ requirements are being observed. Monitoring of the regional offices to provide guidance and direction on compliance matters. Guiding and developing of staffs to ensure proper succession planning. undefined