Risk Assessment and Management

Develop new practices and methodologies for the measurement of compliance risks. Participate in the planning, executing, and reporting of compliance assurance reviews and compliance and regulatory issue validation activities. Ensure that key compliance risks are effectively identified, measured, monitored and controlled, consistent with ATRAM’s risk appetite statement and all policies and processes established within the risk and compliance framework. Develop and implement risk mitigation strategies to address identified compliance concerns and monitor the effectiveness of risk controls to make adjustments needed Policy Development and Implementation Identify policy gaps and formulate policies through the performance of periodic process reviews, gap assessment and remediation against regulations, policies and procedures. Draft and maintain comprehensive compliance policies and procedures aligned with relevant laws and regulations. Communicate compliance policies to employees at all levels through training and awareness program. At least on an annual basis, review all applicable manuals such as but not limited to the Compliance Manual and Money laundering & Terrorism Financing Program, and incorporate updates on requirements and changes in policies and processes as needed.

Regulatory Reports Management

Develop and maintain a registry of all required regulatory reports. Coordinate with business units in the preparation of accurate and timely submission of all regulatory reports.

Compliance Monitoring

Monitor adherence of ATRAM employees, officers, directors to regulatory requirements and company policies, such as but not limited to Code of Ethics and Conduct, Employee Personal Investment Policy, and Related Party Transactions. Process employee personal investment applications and ensure that all required guidelines are met prior to endorsing for approval. Actively participate in the planning, executing, and reporting of compliance assurance reviews and compliance and regulatory issue validation activities in all 3 levels of lines of defense. Drive self-assessment and attestation of business units’ adherence to regulations, policies and procedures through the Business Unit Compliance Certification.

FATCA Specialist

Develop FATCA policies procedures and guidelines for inclusion in the overall Compliance Program. Review amended and additional FATCA laws and regulations and coordinate these developments with relevant business units. Prepare and issue FATCA bulletins and notices. As required, prepare periodic FATCA regulatory reports, covering data analysis and evaluation of financial and personal information of customers. Maintain all documentation, records and communication in relation to report preparation ad transmission. Conduct FATCA training and compliance testing.

Stakeholder Engagement

Collaborate with different business units to identify and address compliance concerns. Act as point of contact for compliance inquiries. Prepare and present compliance reports, highlighting key risks and areas for improvement. Act as a subject matter expert on compliance issues and provide guidance to business units. Cooperate with any lawful requests for information made by supervisory authorities during their examinations and investigations. Provide for periodic review as well as timely updates to implement changes in regulations.