Senior Compliance Manager Job ID: 127
Senior Compliance Officer
• Providing professional support to the Compliance Manager as required.
• Ensure business activities are conducted in conformity with applicable AML laws, regulations and internal policies and procedures.
• Serve as liaison for regulators and legal bodies as well as maintaining relationships with relevant legal bodies and trade associations.
• Ensure regulatory permissions and remain current and appropriate for business needs.
• Continual risk assessment of company practices together with the development of internal policies and procedures, compliance training and protocols.
• Supervision of complaints handling process’s in line with regulatory complaint handling procedures within the UK and Australia. This involves ensuring complaints are responded to in an efficient and professional manner.
• Provide training regarding business wide compliance policies and procedures, laws and regulations applicable to the business.
• Keep abreast of regulatory developments and industry initiatives and advice business ac-cordingly.
• Liaise with third parties together with management team that wish to understand my clients control environment, compliance policies and procedures.
• Liaise with members of legal and compliance function within the group to ensure consistent application of internal policies and procedures.
• Provide reporting in regard to regulatory requirements and developments to Senior Man-agement.
• Directly responsible for the day to day management and ongoing development of the Compliance Department.
• Responsible for the coaching, evaluation of performance, training, motivation and direction of the compliance team.
• Any other duties as required by Senior Management.
Requirements & Skills:
• 2/3 years compliance experience within Financial Services environment.
• Professional Qualification in relevant area.
• Experience of developing and managing Compliance Monitoring Programmes.
• Articulate, effective communication skills within the organisation ( locally and globally) and with external parties ( lawyers, regulators, auditors)
• Proven people management, reporting and organisational skills.
• Ability to equilibrate priorities and organise work effectively to meet deadlines.
• Proficient in MS Office Products
• Availability to travel when required.
Please send your CV to firstname.lastname@example.org
Region: Any Region
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