Compliance and Internal Control Manager - London, United Kingdom - Access Appointments Consultancy Limited

Access Appointments Consultancy Limited

Verified Company

London, United Kingdom

1 week ago

Posted by:

Tom O´Connor

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Description

A great opportunity has risen for an experienced _
Compliance and Internal Control Manager_in financial sector.

The company is an internationally operating corporate providing financial related services, this is a new role and suitable for those who has got solid and tracked experience within compliance/regulatory area within finance.

Due to the nature of the role,Japanese language is mandatory for this role.

Job descriptions:

Provide a proactive and reactive daytoday advisory service in relation to compliance and regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters which impact the company and related affiliate entities.
Liaise closely with the business and the other control functions covering the business to identify and manage the compliance and regulatory risks associated with specific activities and the business as a whole.
Ensure that compliance and regulatory policies and procedures are documented, implemented, and communicated.
Develop and deliver induction and ongoing training when required on compliance regulatory requirements, policies and best practice issues.
Assess new products, services and systems considering new and existing policies and procedures, before, during and after their development and implementation.
Liaise with internal departments to manage regulatory reporting in the company and related affiliate entities and file required compliance reports with regulatory agencies.
Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
Liaise with internal or external auditors on compliance and regulatory matters
Identify compliance issues that require followup or investigation and support the conduct of internal investigation of compliance issues.
Monitor compliance systems to ensure their effectiveness, maintain documentation of compliance activities and submit reports regarding compliance operations and progress as required.
Stay abreast with industry changes, trends, and best practices and assess the potential impact of these changes on the business.
Provide guidance on the design and implementation compliance standards.
Build and strengthen relationships with key stakeholders in Europe and Tokyo Headquarters (THQ)
Perform other related tasks as assigned by management and to meet business needs
Comply with the company's policies and procedures

Requirements:

Knowledge of the principles, procedures, and techniques of compliance and regulatory reporting
Ability to develop user friendly internal policies and procedures based on the relevant laws and regulations
An understanding of the legal and compliance issues of complex financial services organisations, legal entity structures, organisations and regulatory reporting requirements
Good experience of Financial Services and related Anti-Money Laundering (AML) risks.
Good knowledge and understanding of the industry and the regulatory environment
Demonstrable analytical and data interpretation skills
Good presentation skills, articulate, able to communicate quickly and clearly at all levels
Resourceful in resolving issues and solving problems, leveraging resources to get results.
Supports, manages and initiates change within the organisation, taking steps to remove barriers or to accelerate its pace.
Actively pursues learning and selfdevelopment to enhance personal, professional and business growth; shares learning.
Strong interpersonal skills with the ability to negotiate and influence others at all levels, including senior management.
Effective decisionmaking skills; can choose a prompt course of action amongst options involving uncertainty or risk.
Minimum 8 years' experience in compliance or regulatory reporting required
Bachelor's degree or equivalent
Business level proficiency in Japanese (verbal, written and reading)