Compliance Expert

Mission

The focus of this role will focus the company’s compliance program in the fields of advisory and monitoring.

You will report directly to the Compliance Director and will work closely with a wide range of teams within our organization. You will p erform all duties in accordance with the principles outlined in the Code of Conduct, as well as the policies and procedures relevant to your responsibilities, to ensure that you adhere to a culture that treats clients fairly and focuses on the long-term sustainability of client Relationships.

This is a great opportunity for someone who is interested in applying their skills, knowledge and experience in a well-respected firm and learning new skills whilst growing with the company. This is an all-round Compliance role that offers the possibility to take ownership in some areas, to expand and grow and to positively influence the firm's reputation.

Responsibilities

This is what we expect of you:

• You will proactively identify, assess, and review key emerging compliance risks across the business.
• You will engage effectively with business unit contacts and management to advise them on requirements.
• You will assist the first line with updating and implementing policies and procedures.
• You will develop, review, and execute the Compliance Risk Assessment and the annual Compliance Monitoring Plan.
• You need to ensure appropriate controls are developed to monitor identified risks and assist in the automation of first- and second-line monitoring to enable data-driven reporting.
• You will define, operate, and improve compliance-related workflows and processes while increasing compliance awareness through staff training.
• You are responsible for providing regular reporting to legal entity Boards of Directors and relevant executive committees, as well as preparing annual regulatory reports for validation by the relevant stakeholders.
• You must maintain accurate and complete records at all times.