Compliance Officer
Responsibilities
Understand thoroughly non-U.S. business activities and ensure thateffective compliance programs are established to mitigate compliance risk
Perform the compliance review of applicable marketing materials to ensure compliance with current regulatory requirements
Develop and maintain current compliance manuals, compliance monitoring procedures and comprehensive training procedures designed to prevent and detect potential compliance issues.� Ensure the existing Risk Map and Administrative Compliance Monitoring Program is consistent with business practice.
Analyse and interpret FSA, Money Laundering and other regulations, as applicable.� Implement policy and process changed necessary to support any changed to the regulatory environment or business model
Ensure all employees in the region are aware of their obligations under all applicable regulatory rules and laws, as well as internal policies
Advise senior management of any issues for the London office
Co-ordinate with the Legal Department and other areas, as necessary, to provide appropriate guidance for the resolution of all legal and business issues for the London office
Develop and implement an effective trade oversight program for trading in the London office with the goal to ensuring fair allocation and best execution
Perform the role of Money Laundering Reporting Officer for the London and Dublin offices
Oversee the efforts of third party compliance consulting firms, internal or external auditors and address items raised in their periodic compliance reports
Serve as Corporate Secretary for the London office.� Record and maintain minutes at�Board meetings
Serve as Compliance Manager of�Australia
Provide compliance oversight of�China
Provide compliance oversight of�institutional sales activities in jurisdictions outside of North America
Liaison with regulators as necessary.� Ensure all required documents are filed on a timely basis
Perform additional duties as required.
Competencies
Experience with legal and compliance issues in non-UK European countries especially as regards authorization, marketing, client service, prospectuses and contracts
Strong knowledge of applicable compliance regulations
5-7 years related experience
Excellent oral and written communication skills
Strong interpersonal and motivational skills
Ability to direct and support multi priorities including planning and organization skills
Demonstrated ability to effectively interact with all levels of management.
Please contact Fergus Hooley
Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the TC's, Privacy Policy and Disclaimers which can be found at hays.co.uk
Leave a Reply
You must be logged in to post a comment.