Compliance Professional
3 days ago
About the Role
A Compliance Officer with a passion for regulatory compliance is required to join our team. As a key member of our compliance function, you will play a crucial role in ensuring that our operations are conducted in accordance with relevant laws and regulations.
Key Responsibilities:
- Maintain policies, procedures, programs, and registers with annual review cycle.
- Quarterly compliance testing and reporting.
- Investigate incidents/breaches and draft breach reports.
- Assist in preparation of Board reporting and Board Pack compilation.
- Provide input into development of training presentations.
- Assist in implementation of updated regulatory guidance from regulators.
- Participate in various compliance projects.
- Contribute to continual improvement of compliance processes.
- Liaise with auditors and provide requested documentation.
Requirements:
- Career experience in compliance, ideally in financial services with interest in funds management.
- Demonstrated ability to interact confidently with senior stakeholders and clients professionally.
- Effective communication skills delivering to tight deadlines.
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