Compliance Manager


Our client, operating within the investments services is seeking to recruit a Compliance Manager. The selected candidate will have the following responsibilities:

  • Ensuring the company has proper documented standard operating procedures that are in line and comply fully with the relevant up to date regulatory requirements thereby helping to safeguard the company’s reputation
  • Preparing quarterly and annual compliance reports and present these directly to the board of directors and the Risk & Compliance Committee
  • Coordinating the completion of the BRA with the organization's external advisors
  • Maintaining a report of breaches and present these as part of the compliance report
  • Keeping abreast with all new regulations, carefully analyzing these and advising the board and management of the implications of the new regulations
  • Overseeing processes that may require change in order to adhere to the new regulations
  • Maintaining and executing an ongoing compliance program that covers all aspects of the business which is to be executed on a rolling basis
  • Submitting all the required reports to the regulators on a regular basis
  • Updating all the company’s policies and procedures and ensuring that they represent the forefront of best practice and good governance
  •  Liaising with the regulators and other authorities on any correspondence that the firm receives in respect of its obligations to the regulators
  • Keeping abreast and undergo regular training to ensure the company is at the forefront of industry trends
  •  Leading a compliance team that reflects the size and nature of the company’s activities

Skill-sets and Requirements

  • Minimum 3 years experience in a similar role locally
  • Meticulous with an eye for detail
  • Ability to take initiatives and excellent team player
  • Excellent interpersonal skills
  • Eligible to be PQ'd

Education & Experience

Fully qualified lawyers will be given preference

Job Reference: WJ644

  • Primary job focus
  • Job type
    Full Time
  • Employment level
    Experienced (3 years +)
  • Employer industry
    Financial Services
  • Languages
  • Job Reference
  • Closing Date
  • Date Published
  • Status

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