SENIOR COMPLIANCE MANAGER recruitment
He/she will be involved in assisting the business to identify measure and manage risk and obligations, and undertake appropriate monitoring of relevant controls. The role holder will also contribute to instilling a risk management and compliance ethic within the business and will , ensure that the firm’s employees understand and appreciate the role of risk management and compliance from a wider perspective.
Sound business acumen coupled with a detailed awareness of the regulatory environments in global Asset Management are required to successfully undertake this position.
Core Responsibilities:
- Assist the Head of EMEA Risk Management and Compliance in executing the Risk framework.
- Working in partnership with the Risk and Compliance team and the business, with particular emphasis on:
- Identifying obligations arising from, and monitor the business compliance with, FSA / SEC and other regulators.
- Advising all levels of management and staff on the practical implementation and maintenance of compliant procedures and actions.
- Provide ongoing communication on regulatory issues and requirements to all affected staff.
- Pro-actively identify key regulatory and legislative changes impacting the business and facilitating the determination of an action plan.
- Assisting the business with risk profiling, key risk indicators and risk and control certifications and undertaking assurance.
- Oversight of the issues management process to ensure that risk and compliance incidents are captured, analysed, escalated as required, corrective action taken and progress reported.
- Supporting regular, timely and relevant reporting to subsidiary boards and committees, management governance forums.
- Working closely with the leadership team to understand the current status of projects and in managing inherent risk factors associated with those projects.
- Supporting the development of appropriate risk and compliance policies and procedures and associated communication and training.
- Supporting the business in identifying, assessing and mitigating risks and satisfying obligations with respect to new/modified products, marketing materials, offer documents, other transactions.
Core Skills:
- Strong communication skills at all levels, both internally and externally, including very high personal and audience presentation skills.
- Attention to detail and the ability to constructively resolve problems.
- Proven ability to contribute to outstanding team performance.
- Proven prioritisation and task allocation skills.
- Takes ownership of tasks and will pro-actively take the initiative for new tasks and anticipate needs.
- Flexibility to work beyond job description.
- Sound ability to influence and persuade colleagues effectively at all levels.
- Logical thinker and able to provide strategic input when required.
- Practical self starter with self motivation and a desire to develop and expand within the role.
- A team player able to lead by example and be willing to learn fast in a dynamic environment, works independently or as part of the team.
Core Requirements:
- Expert knowledge of Operational Risk, a good grasp of UK and European regulations is a pre-requisite, and ideally some US regulatory knowledge.
- Experience in an Asset Management Risk Management and Compliance function.
- Must be able to and continue to be able to demonstrate continuing competence in accordance with the FSA’s Training Competence regime.
- Relevant qualifications, covering: law, accounting, business or risk management activities.
- Demonstrable ability to oversee and further develop relationships with key third parties, covering all aspects of financial services regulation compliance and internal compliance.
- Ability to deliver training to the business using a range of presentational skills.
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"