Root Systems

Compliance

• Serve as the go-to compliance resource for management, business owners and internal stakeholders across the company;
• Monitor and assess legal and regulatory developments relevant to our business, translating them into actionable compliance roadmaps and staff training programmes;
• Maintain relationships with external legal counsel and regulatory/supervisory authorities across our operating jurisdictions;
• Own the drafting and review of company policies and procedures, and support their effective implementation;
• Lead the annual compliance plan;
• Help build and maintain the internal control systems;
• Carry out ad-hoc audits, flagging control gaps and opportunities to strengthen internal processes;
• Prepare and/or oversee the submission of regulatory reports to the relevant authorities;
• Carry out ongoing regulatory compliance risk assessments;
• Establish and maintain a structured compliance risk-and-control programme, with appropriate controls for mitigating, monitoring and reporting risk;
• Keep compliance records, cases and issue logs up to date, managing deadlines and documenting actions taken.

Regulatory Compliance Officer