Our client is a reputable company in the Financial Services industry.
Responsibilities:
- Developing and Implementing Compliance Programs:
o Designing, implementing, and continuously improving compliance frameworks, policies, guidelines, and control mechanisms.
o Creating a code of conduct and other internal policies.
- Risk Assessment and Management:
o Conducting regular risk assessments and audits to identify potential areas of non-compliance, financial, and legal risks.
o Analyzing operations and procedures to pinpoint vulnerabilities.
o Developing strategies and implementing preventative/corrective measures to mitigate identified risks.
- Monitoring and Auditing:
o Continuously monitoring internal processes and procedures to ensure adherence to regulations and policies.
- Regulatory Interpretation and Communication:
o Staying up-to-date with relevant laws, regulations, and industry standards, and interpreting their implications for the organization.
o Communicating regulatory changes and their impact to management and relevant departments.
- Investigation and Reporting:
o Investigating alleged violations of laws, regulations, or internal policies.
o Reporting findings to management and, when necessary, to regulatory bodies.
- Liaison with Regulatory Bodies:
o Serving as the primary point of contact for regulatory agencies.
o Managing regulatory audits and inspections.
- Advisory Role:
o Providing guidance and advice to management and employees on compliance matters.
o Assisting in identifying solutions to compliance issues.
Requirements:
- Bachelor's Degree in Business Administration, Law or Legal Management, with good experience in Finance, Legal, Audit, Compliance, Corporate Governance, AMLA, and/or Risk Management.
- Industry Knowledge and a thorough understanding in Trustee or Financial Services sector would be preferred and advantageous.
- Risk Assessment and Management: Proficiency in identifying, assessing, and mitigating compliance risks.
- Attention to Detail: Meticulousness in reviewing documents, processes, and identifying potential non-compliance.
- Technical Proficiency: Familiarity with compliance software, data analysis tools, and cybersecurity protocols.
- Integrity and Honesty: Essential for a role that involves upholding ethical standards and ensuring adherence to rules.
- Business Acumen: Understanding the company's operations, goals, and how compliance fits into the broader business strategy.
Job Type: Full-time
Schedule:
- Monday to Friday
Work Location: In person