- Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
- Support the development of new compliance standards.
- Serve as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.
- Manage regulatory visits and inspections.
- Prepare written inspection and assessment reports and provides recommendations for improvement.
- Provide guidance to mitigate compliance risks and control gaps.
- Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
- Support the development of new compliance standards.
- Identify and implement corrective action plans for resolution of problematic issues. Recommend practices to reduce potential for violations and noncompliance.
- Manage operational efficiency. Set measurable goals leveraging internal and external resources accordingly.
- Report on the results of compliance and ethics initiatives of the business.
- Follow approved investigation procedures and report on corrective actions.
- Maintain a deep knowledge and awareness of the investment industry with particular focus on multi-asset solutions.
- Stay abreast of current market, regulatory and industry relevant news. Serve as an expert on compliance related issues. Act as a liaison to regulatory agencies.
- Participate in special projects and perform other duties as assigned.
- Minimum of five years related work experience, with solid knowledge of distribution compliance
- Ability to stay on top of compliance policies and advise senior management and other stakeholders.
- Attention to detail and commitment to high quality and timely delivery.
- Ability to work with a high degree of autonomy and show initiative.
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Compliance Distribution Specialist - London Area, United Kingdom - Compliance Professionals
Description
THE COMPANY:
Our client is a large international investment company, with $ trillions in AUM.
They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.
THE RESPONSIBILITIES:
EXPERIENCE REQUIRED:
For further information please contact Duncan Jeffery
