UK Compliance Director recruitment
Overview:
Reporting to the CEO, the successful candidate will join a leading provider of integrated real estate services and will be responsible for ensuring that the organisation conducts business in compliance with ethical business practices, company policies and legal requirements; especially with regards to Preventing Money Laundering and Terrorism financing, Anti-bribery and Corruption, Conflicts of Interest and Professional Ethics.
Key Responsibilities:
• Co-ordinate regulatory examinations (RICS, FSA) and any other investigations prompted by
requests from clients or their counsel.
• Prepare responses to routine examinations, audits and other enquiries
• Interface directly with regulators and authorities on an as-needed basis
• Registered as the Approved Person with the FSA for both the Compliance and MLRO roles.
• Ensure that Compliance policies and procedures are reviewed and updated on an annual basis.
• Follow-up of Compliance related recommendations.
• Establish or adapt Policies and Procedures when required.
• Validate commercial advertising and marketing material prior to release (brochures, presentations, press statements).
• Carry out regular 2nd Level controls on adherence to Compliance policies and procedures.
• Take part in the validation process of new products and services.
• Ensure that products and services comply with local laws and regulations.
• Ensure that the Code of Ethics is given to all new employees.
• Perform 2nd Level controls to ensure that group Ethical Requirements are adhered to.
• Investigate any situation where an employee’s conduct / ethics might be questioned.
• Continually promote Compliance awareness and a strong Compliance culture.
• Ensure that all staff are appropriately trained on Compliance requirements, including training for new employees joining the Company.
• Conduct regular training on Compliance requirements (including prevention of money laundering, terrorism financing and corruption and, whenever necessary, invite external speakers to participate into these training sessions).
• Keep a record of all the training sessions relating to Compliance.
• Perform MLRO duties for all activities within the group.
• Report to the Board on control and compliance issues.
You will have:
• Relevant qualification in Internal audit/compliance
• Good knowledge of applicable regulations under which the business must operate (currently RICS and FSA)
• Excellent communication and interpersonal skills with an emphasis on strong written communication
• Strong attention to detail
• Ability to direct and influence the Business with regards to compliance and control matters
Due to the large number of responses received unfortunately, we are unable to respond to every application. If you have not received a response from us within 5 working days then unfortunately, your application has been unsuccessful on this ocassion.