- Compliance Generalist
About Our Client
· Develop and implement a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks.· Maintain a thorough understanding of relevant laws and regulatory requirements, working with the head office Compliance and Internal Review Functions to provide advice and guidance to senior managers enabling them to implement policies and procedures compliant with relevant regulations and industry legislation.
· Contribute to discussions on new business activities, providing compliance expertise and advice to ensure regulatory requirements are met, and dealing with conflicts of interest incidents.
· Coordinate with the head office' Regulatory Research function to provide advice to local management in relation to potential registrations in jurisdictions where specific regulations are enforced.· Provide periodic and ad-hoc information and regulatory reports to regulators as required.· Participate in the development and implementation of global policy and procedure (lead by the Corporate Internal Review function), ensuring local regulatory / legislative and industry requirements are met.
· Develop and maintain local legal and compliance policies and procedures to comply with statutory and regulatory requirements.
· Communicate with regulators in respect of compliance issues including all material and non-routine correspondence.
· Act as a support for local executive management in the development and maintenance of effective and efficient interaction with regulators, ensuring the Group's views are appropriately represented, and facilitating the supervisory activity of regulators.
The Successful Applicant
Educated to degree level, ideally with a legal background or related subject.
· An experienced compliance / regulatory professional with a broad range of skills (including compliance monitoring, risk assessment, and advice) possibly gained from working in a small organisation or the subsidiary operation of a larger group.
· Experience of communicating with regulators, including preparing for meetings and inspections with regulators.
· Excellent verbal and written communication skills with the ability to clearly and confidently express observations and recommendations.
· High level of accuracy and attention to detail.
· Strong organisational skills and ability to manage multiple tasks simultaneously
What's on Offer
six figure package on offer and a very broad, hands on compliance role.