Compliance Officer: Product, Marketing & FAIS

Job Mission / Objective

As the Compliance Officer overseeing Product & Marketing, and Financial Advisory and Intermediary Services (FAIS) within our financial institution, you will play a pivotal role in ensuring strict adherence to regulatory requirements and industry standards across these essential areas. Your responsibilities will encompass developing, implementing, and monitoring comprehensive compliance programs, policies, and procedures. Your expertise in Product & Marketing, FAIS regulatory reporting, registers, FAIS portal, and supervision management will be critical in effectively mitigating risks and maintaining regulatory compliance.

Regulatory Compliance Oversight

• Provide expert oversight and guidance on regulatory compliance matters related to Product & Marketing, and FAIS activities.
• Stay updated on regulatory developments and promptly implement changes to ensure compliance across relevant business functions.