Role Summary
Our client is looking for a Compliance Manager who will assist in delivering practical solutions, guidance and training; identifying and managing Compliance Risks of higher complexity. You will also implement policies, processes and controls related to the Compliance Risk Universe of moderate complexity to complex and interact with supervisory bodies whenever required.
This team oversees a number of diverse Compliance teams (Life, Retail and Commercial) in terms of scale and complexity. You will support the Compliance Team in carrying out their oversight obligations in addition providing support to the Regional Compliance Officer.
Your Role
As a Compliance Manager your main responsibilities will include, but not necessarily be limited to, the following:
- Assist the Team maintain its assurance and reporting obligations to governance bodies and management, as well as supporting the communication with regulatory bodies as appropriate.
- Participate in the delivery of risk-based assurance to business management and within the Compliance function. Assist with governance committees and foster and develop cooperation with other Assurance Providers across the three lines of defence to achieve truly integrated assurance.
- Execute allocated assurance activities included in the assurance plan and coordinate and lead multi-jurisdiction assurance activities.
- Prepare adequate reporting regarding progress against allocated assurance activities, significant results, as well as escalation of overdue issues for reporting to governance committees and business management (as appropriate).
- Create action plans to resolve identified findings.
- Evaluate business activities to assess compliance risk. Provide input to the annual compliance risk assessment to satisfy internal and regulatory requirements and communicate assessment results to management, governance committees and other stakeholders, as applicable, coordinating action plans settlement whenever is necessary.
- Provision of timely and accurate information and services to support Compliance in their management of both local and regional compliance obligations
- Provide key practical advisory service for all compliance related queries across theEMEA region including:
- Ability to integrate MI while coordinating reporting across business units
- Assisting in the monitoring of compliance controls
- Providing project support in respect of identified compliance initiatives by participating in projects or lead work streams / sub-projects
- Providing an accurate and consistent approach to compliance issues
- Producing review reports to highlight areas of action
Your Skills and Experience
As a Compliance Manager your skills and qualifications will include:
- 8 years of experience in a related field
- Bachelors degree, ideally in economics, finance or accounting
- Professional diploma (or studying for one) in Compliance
Technical Competencies:
- Advanced Microsoft Office skills in Excel, Visio, etc. mandatory
- Practical understanding of the Financial Services industry required (Insurance Industry is preferable)
- Ability to help plan and manage (where a requirement arises) company policy and processes to incorporate compliance requirements
- Strong reporting and presentation skills.
Non-technical Competencies:
- Excellent organisational and planning skills
- Excellent communication skills, both written and verbal, with the ability to communicate effectively at all levels
- Ability to think clearly and logically
- Ability to establish and maintain constructive business relationships with all contacts inside and outside the Company
- Ability to seek out and use all available sources of information to make informed decisions and to solve problems
- Positive and flexible attitude to change
- Constructive and supportive working style
- Structured and organised approach to problem solving
- Excellent time management of task delivery
- Ability to work independently using own initiative and to work with a team
- Ability to adhere to strict deadlines
- Flexibility to travel (10-15%)
On offer:
The opportunity to join this well regarded firm working for an extremely good people manager. Excellent salary and benefits.
