Senior Compliance Specialist

Tasks

The Senior Compliance Specialist ensures that external laws and regulations, corporate best practices, and other general business compliance procedures are adhered to at all times. He or she provides risk-based regulatory advice and support to help the business meet its obligations under relevant laws and regulations, as well as internal procedures. Responsibilities include:

• Contribute to the design, implementation, and maintenance of the Compliance Monitoring Program (CMP), including global minimum controls for compliance and financial crime
• Conducting ongoing testing of compliance and financial crime controls to ensure compliance with group and local regulatory requirements
• Assessing the adequacy and effectiveness of existing controls and recommending improvements to mitigate the risk of non-compliance
• Assistance with investigations, including root cause analysis and the identification of control weaknesses
• Assistance with gap analysis against group systems, global minimum standards, and local legal/regulatory requirements, as well as with the implementation of necessary controls
• Conducting thematic compliance reviews, preparing clear, risk-focused monitoring reports, and making recommendations
• Development, review, and maintenance of CMP documentation, compliance policies, procedures, and manuals to ensure alignment with global standards and local regulations
• Support with the maintenance of key compliance documentation, including the Regulatory Obligations Register, Regulatory Compliance Manual, and Market Conduct Risk Assessment
• Participate in the local Policy Desk and provide support for inquiries originating from the Group Policy Desk
• Assistance with the preparation of regulatory filings, internal group reports, and management information for governance committees and senior executives
• Providing data, analysis, and insights to support compliance reporting and decision-making
• Identifying compliance training needs and assisting with the development and delivery of targeted training
• Monitoring regulatory developments and proactively assessing their impact on the business
• Support in integrating compliance into change initiatives, new products, and systems
• Support for regulatory inspections, audits, and internal reviews, including preparing responses and coordinating regulatory interactions
• Assistance with regulatory consultations and thematic reviews related to compliance, as needed
• Building and maintaining effective working relationships with key business partners and second- and third-line functions
• Presenting challenges for the business in terms of regulatory interpretation and risk appetite
• Support in establishing a strong culture of compliance and ethical conduct within the company
• Mentoring junior compliance team members and contributing to capacity building within the function
• Representation of the HoC, where appropriate

Requirements

• Relevant ICA certification, professional qualification(s), or equivalent
• At least 3 years of relevant experience in compliance (or a similar field)