Job Description:
Regulatory and compliance reporting within the funds industry is constantly evolving with increasing requirements for transparency being its driving force. Reporting to the Head of Compliance, the Compliance Officer will interact and engage with a variety of business areas in encouraging collaborative ways to embed a strong culture that values risk and compliance management. The Compliance Officer will assist the Compliance Department in advising senior management on compliance matters and will design, develop, and enhance the Group’s compliance programs as the Group’s regulatory requirements grow and expand.
Key Accountabilities of the Role:
The below list is not finite and may be added to. The combination of tasks required to be executed will vary, depending on department priorities and business needs.
* Support the business in identifying and managing regulatory change including conducting gap analyses of new requirements against current practices.
* Provide support and assistance to the business on financial crime related queries and concerns.
* Assist in the response to supervisory engagements and requests for information.
* Assist in the monitoring of upstream AML/CTF/FS related regulations and legislation and best practice.
* Assist in the preparation of Compliance reports to the Board and Senior Management.
* Assist with the implementation of the Company’s Compliance Monitoring Plan and assist in conducting compliance monitoring and testing as appropriate.
* Support the Compliance function in the periodic review and update of compliance policies and procedures as required to ensure that they are effective and efficient.
* The creation of reporting and presentations which simplify diverse and complex themes into understandable communications.
* Collaborating closely with risk owners and risk functions, embedding a culture of effective risk management and assist in aligning business units and functions in their identification and management of risk.
* Contribute to the development of a Compliance framework and culture.
* Delivery of training programmes to HedgeServ employees.
* Support other members of the Compliance team with compliance-related activities as required.
Pre-requisite knowledge, skills and experience:
Technical Requirements
* University degree and/ or professional/ post graduate qualification required.
* Minimum of 5 years’ experience within the financial services industry preferably within asset / fund management or administration.
* Compliance, legal or regulatory qualification an advantage.
Skills
* Strong leadership skills with the ability to influence and build consensus
* Strong verbal and written communication skills
* Strong methodical and analytical skills
* Good initiative tempered with identifying when escalation is required
* Willingness to challenge current processes and practices with a view to improvement
* Excellent report writing skills and attention to detail
* Ability to develop and maintain business relationships within the team and across the organization
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