COMPLIANCE AND AUDIT MANAGER recruitment
The role holder will report to the Head of Legal Risk and will ensure that the Company has the necessary systems and controls to adhere to the regulatory requirements of the FSA and IFoA DPB Committee. The successful candidate will also have staff management responsibilities for the Compliance Assistant who will directly report into this role. This role can be based in either Edinburgh or Glasgow.
Core Responsibilities:
- Ensuring a professional, efficient and consistent Legal Risk service is provided, promoting best practice and a collegiate approach.
- Identifying Legal Risk issues and implementing strategies to manage these.
- Ensuring policies and procedures within the team are aligned with strategic objectives.
- Reporting and providing guidance to senior management, promoting compliance
and strategic direction for regulatory matters. - Internally and externally networking with key people to facilitate solutions to key initiatives.
- Acting as a Client Engagement Manager, developing knowledge and understanding within the firm.
- Assisting Head of Legal Risk to prepare and manage performance against plan and budget.
- Overseeing compliance with high level principles in accordance with the FSA and liaising with them when required on relevant matters.
- Ensuring appropriate reports and management information is provided to senior managers as required.
- Acting as Money Laundering Officer.
- Setting the annual programme for internal audit and conducting internal audits on specific regulatory activities.
- Overall management of the firm’s mandatory policies and procedures and their roll out across the firm.
- Devising, organising and delivering training.
- Adhering to the firm’s Information Security standards, policies and procedures.
Core Skills:
- Pragmatic and solutions driven.
- Flexible and adaptable.
- Excellent communication, presentation and interpersonal skills.
- Able to take on responsibility and to quickly gain credibility.
- Strong commercial acumen and negotiation skills.
Core Requirements:
- Relevant compliance and/or audit qualification.
- Knowledge of and contacts with competitor compliance practices.
- Strong leadership abilities with particular focus on being able to manage and implement
change agendas across the firm and build consensus when required. - Able to both initiate and deliver on key projects and initiatives.
- Proven networking skills.
- An awareness of business strategy.
- Knowledge of the pensions industry.
- Knowledge of the regulatory environment within which the firm operates.
Core-Asset Consulting offer specialist recruitment services to the Investment Banking, Financial Services, Secretarial Support, and Human Resources markets across Scotland.
"People are the core asset of every business"
March 5, 2012
• Tags: Accounting & Finance careers in the UK, COMPLIANCE AND AUDIT MANAGER recruitment • Posted in: Financial