Compliance Director - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

RESPONSIBLITIES:

Maintain and implement compliance and AML policies and procedures, as well as a monitoring program, regulatory requirements and emerging regulatory risk. Liaising with the head of international compliance.
Monitor and oversee all regulatory filings.
Establish priorities for compliance initiatives and ensure they are incorporated into global compliance programs and communicated to compliance personnel, including head of international compliance.
Prepare reports and communicate as well as receive documentation from the FCA
Advise senior management and the board with respect to regulatory obligations, development and/or concerns with UK compliance and AML program.
Work with the compliance education team to help develop and deliver compliance education.
Develop and maintain effective relationships with business partners and peers to understand business needs and opportunities, access and articulate regulatory risks as well as provide framework to enable well informed business decisions relative to regulatoryrisk.
Advise head of international compliance, as necessary, of any regulatory issues or concerns and recommend corrective actions.
Manage the hiring, training and establishment of performance standards and monitoring of performance of compliance staff.
Assume additional responsibilities as needed.

REQUIREMENTS:

Experience working on a project basis, reviewing, evaluating, designing and implementing applicable key functions (e.g. Riskbased monitoring programs, compliance manuals and personnel training).
Management skills, including the ability to lead and motivate staff, provide meaningful and regular performance feedback, identify career development opportunities. Must have demonstrated leadership skills and be able to implement, execute.
Indepth knowledge of applicable regional laws, rules and regulations.
Knowledge of fund management and wholesale distribution models preferred.
Strong written, verbal and interpersonal communication skills. Strong presentation skills.
Must be fluent in English (speaking, reading and writing)
Any other languages such as Spanish, Italian, French and German would be a plus but not essential.