Develop, implement, and revise policies and procedures designed to eliminate or minimize the risk of breach of regulatory requirements and ensure that compliance policies and procedures are clearly communicated to all levels of the company.
Liaise with the CBSL, FIU, Financial Ombudsman and maintain a cordial relationship with them.
Peruse and approve weekly, Monthly, Quarterly and Annual Returns to be submitted to the CBSL.
Liaising with the company secretary and ensure that the company complies to the rules and regulations of the Colombo Stock Exchange and Securities and Exchange Commission.
Ensure that mandatory Boards and Senior Management Committees function in timely manner fulfilling regulatory and statutory requirements.
Supervision and coordination of all Compliance activities for the company on a regular and timely manner.
Review and improve the compliance program based on the prioritized compliance risks to ensure that the company meets the regulatory requirements.
Assist the management in Identifying, documenting, and assessing the compliance risks associated with the company?s activities (Compliance Risk Assessment).
