Vice President - Regulatory Compliance
The following key responsibilities for this role includes, but not limiting to:
• Responsible for the overall design, implementation and ongoing enhancement of Compliance Program that is focused on regulatory and sales (market conduct) compliance.
• Responsible for the development of relevant Compliance policies and procedures necessary to support the objectives and values of DNB and for the implementation of corporate policies and procedures to manage corporate-level regulatory risks.
• Responsible for the effective communication of compliance and risk matters including timely an accurate reporting and/or escalation of such matters in accordance with relevant reporting and escalation protocols.
• Develop or oversee development of structural approach and procedures to effectively deal with representatives/sales staff misconduct, from receiving allegations to planning and conducting investigations to taking remedial/recovery actions.
• Develop and implement an effective education and engagement program through ongoing communication and training to embed a culture of compliance and ethics.
• Responsible for structuring, leading, coaching and developing the compliance team to support the business and ensuring compliance deliverables.
• Assist with ad hoc projects where assigned