Regulatory and Legal Advisory

Provide advice to business and management stakeholders on regulatory compliance and legal matters related to support business decision making



Competency Area

Risk Management, Governance and Regulatory Compliance


Determine risks and common compliance vulnerabilities

Ask probing questions to develop understanding of current scenario purpose and needs

Identify legal and/or regulatory risks to the business in current scenario

Examine management of risks related to common compliance or legal matters presented by the business by applying knowledge of relevant laws and/or regulatory practices

Research regulations and legislation to identify relevance and applicability to decision- making scenario

Assess impact of laws and regulations to current scenario

Apply data analysis methods and techniques to address deficiencies and discrepancies in information related to compliance matters from relevant regulators, external parties and internal business stakeholders

Draft advice and guidance for stakeholders based on research and identified laws or regulations

Assess impact and risks associated with changes or emerging global developments

Develop constructive recommendations or advice based on the application of laws and regulations

Identify and suggest legal and/or compliance risk management approaches based on knowledge of laws and regulations

Advise stakeholders on compliance or legal matters related to financial services laws and regulations, as well industry best practices

Provide guidance to customers on the interpretation and implications of relevant laws and regulations

Analyse implications of emerging or new laws and regulations

Give strategic advice on compliance and legal matters

Align impact of latest global developments, laws and regulations on risk assessments of the business

Engage with regulators, external parties, board, senior management, and other key stakeholders to facilitate decision-making on regulatory compliance and/or legal issues

Navigate how to address adverse impact of regulations and legislation on the organisation

Develop and define advisory strategies based on organisational position on laws and regulations

Consider relationships between business, laws and regulations and associated risks

Establish strategies and plans for assessment of risks and development of solutions to address risks which can be communicated to the organisation

Synthesise various sources of information on legal or regulatory matters

Use professional judgement to determine appropriate course of action for complex legal and/or compliance situations