Senior Compliance Manager recruitment
The core responsibilities of this role will include:
1. Develop and maintain compliance policies in accordance with in house policies and procedures to prevent unethical, illegal or improper conduct.
2. Develop and maintain the compliance monitoring program, supervise periodic reviews and report findings to Management.
3. Review and update relevant rules and regulations, based on updates from Regulators or Head Office. Provide guidance to staff and senior management where necessary in relation to the details and implications of such updates.
4. Investigate thoroughly any alleged violations of policy and procedures and recommend further action where necessary.
5. Regular reporting to Senior Management in relation to compliance efforts across the business.
6. Review transactions and act as an advisor, pre and post trade.
7. Design and implement training programs for staff.
8. Supervise a small team of compliance officers.
9. Ad-hoc projects as and when required.
Candidates for this role should have a strong compliance background and preferably have product advisory experience. Supervisory experience is also and advantage.
Interested parties should submit their profile in the first instance.