Monitoring Officer

The Monitoring Officer completes post licensing matters, conducts thematic reviews, target reviews, inhouse enhanced due diligence (EDD) reports, risk review reports and on-site reviews of licensedfirms and individuals to ensure they are compliant with Company laws, rules and regulations with more of a focus on more issues and technical matters i.e. professional services firms.

Completes various post licensing matters of licensed firms and individuals; and proposes relevant actions to be taken for those firms that are non-compliant.

Proactively follows up with firms to ensure the action proposed by the Registration Section is followed through. Represents the department to complete awareness, meetings or training sessions with licensed firms to ensure they understand the

Company rules and regulations. Highlights any possible non-compliance by Licensed Firms and either prepares an inhouse EDD report or risk review report articulating the recommendations with appropriate action plan in response to identified non-compliance by Licensed Firms with a focus on higher risk firms and complex matters

Reviews information received from internal notifications, regulatory changes, scheduled monitoring activities, external information and firms’ feedback for updating the CRM