Compliance Director : Retail recruitment
Compliance Oversight / Consultancy
- Proactive contribution to, and challenge of, the business unit Compliance function
- Ensure business unit Compliance functionhave a clear understanding of the dynamics of their regulatory compliance risk profile and are aware of their ongoing responsibilities;
- Support the development of their business unitcompliance capability and constructively challenge their ongoing effectiveness;
• Understand and constructively challenge business unit Compliance function(s) on the regulatory compliance risk exposures, both current and anticipated, that should be receiving attention; and
• Advise business unit Compliance function(s) on the implications of issues and problems of groupwide significance and, where appropriate, recommend options to manage these risks.
Best Practice Development Policy Implementation
- Lead the development of Legal and Compliance capability through the chairing of enterprise wide Practice and Working Groups;
- Lead and/or contribute to regulatory change programmes;
- Communicating relevant regulatory requirements throughout firm principally via the Compliance and Risk communities, and assisting to achieve compliance with all relevant regulatory requirements
- Develop/update appropriate Group Compliance policies, procedures and standards;
- Provided advice and guidance to the Group Senior Executive and Central Support business areas on regulatory developments and material issues;
- Co-ordinate approach,within a public context, to risk and regulation; and
- Provide advice on the compliance aspects of relevant new products and initiatives.
Relationship Management Reporting
- Manage and develop the relationship with key regulators in both the UK and other major business locations;
- Provide assurance, via reporting, to the various Group committees on the adequacy of business unit Compliance resources/arrangements;
- Provide assurance, to the various group committees of the adequacy of the general approach to regulatory compliance; and
Provide assurance, via Compliance attestations, to the various group committees on compliance with the regulatory compliance Board Governance Standard.
Please contact Fergus Hooley , Director on 0203 465 0110 for more information
January 2, 2012
• Tags: Compliance, Compliance Director : Retail recruitment, Legal careers in the UK • Posted in: Financial