Key Responsibilities
The successful candidate will monitor the entity's compliance with all applicable regulatory standards, assist with reporting to the Board of Directors and advise the entity pro-actively on future and changing regulatory matters.
* Preparing, reviewing, advising on Policies and Procedures Manual, in particular regarding Compliance Policies and Group Policies
* Project-management of the Governance system and portal
* Coordinating and reviewing the policies and procedures of the funds under management
* Working with the group compliance team and sitting on the Compliance Steering Committee. Prepare a Compliance Risk Assessment and evaluate with an independent mindset the Company Compliance Culture, proposing appropriate improvements
* Partner with the Group Compliance Teams and look for synergies relating to risk and compliance across the Group
* Participate in the monthly Compliance Committee meetings
* Working with team reviewing investment compliance of funds under management
* Executing the Annual Compliance Plan, and the periodic surveillance on the Policies and Procedures Manual
* Advise and guide staff in relation to compliance matters
* Delivery new starter Compliance training
* Plan and implement regulatory compliance training
* Assist in the review of the risk management framework
* Assist in the review of marketing material for the funds under management
* Assist the MLRO with AML reviews
* Assist in the review of upstream regulatory changes and analysis of impact on the business, providing training as appropriate
* Preparing reports and updates for the Board, the Central Bank, Senior Management, Group Reporting and any other stakeholders
* Take responsibility for leading the Compliance Analyst and ensuring effective work delivery
* Pro-actively handle any performance issues with the team members
* Provide ongoing training and development opportunities for team members