Regulatory advice:

• Providing regulatory advice with respect to new and existing regulations to key internal stakeholders.

Regulatory change:

• This includes but is not limited to; identification of new regulation as applicable to the firm, contributing to the global regulatory change framework, working with key stakeholders to implement regulatory change, updating policies and procedures as required, keeping management abreast of progress.

Thematic reviews:

• Undertaking thematic reviews on topics identified by the Compliance monitoring review program. Documentation of these reviews and coordination with key stakeholders to ensure recommendations agreed and actions are tracked to completion.

General Compliance activities:

• Contributing to day-to-day compliance activities such as client queries, policy updates, regulatory training, dealing with regulatory audits, liaison with other teams such as Risk and other local legal and Compliance teams.

General Legal activities:

• Advising on the legal framework of new strategic initiatives/projects;

• Advising/Reviewing IMA updates in respect of new regulations;

• Providing back-up support on IMA reviews in the event there is a significant volume/cover is required.