Senior Compliance Specialist

Tasks

The Senior Compliance Specialist ensures that requirements set forth by external laws and regulations, corporate best practices, and other general business compliance procedures are met at all times. He or she provides risk-based regulatory advice and support to assist the business in fulfilling its obligation to comply with relevant laws, regulations, and internal procedures. Responsibilities include:

• Contribute to the design, implementation, and maintenance of the Compliance Monitoring Program (CMP), including global minimum controls for clients and financial crime
• Conducting ongoing testing of compliance and financial crime controls to ensure compliance with group and local regulatory requirements
• Assessment of the adequacy and effectiveness of existing controls and recommendations for improvements to mitigate the risk of non-compliance
• Assistance with investigations, including root cause analysis and the identification of control weaknesses
• Support for gap analysis against group systems, global minimum standards, and local legal/regulatory requirements
• Conducting thematic compliance reviews and preparing clear, risk-focused monitoring reports and recommendations
• Preparation, review, and maintenance of CMP documentation, compliance policies, procedures, and manuals
• Support with the maintenance of key compliance documentation, including the Regulatory Obligations Register, Regulatory Compliance Manual, and Market Conduct Risk Assessment
• Assistance with the preparation of regulatory filings, internal group reports, and management information for governance committees and senior executives
• Assistance in identifying compliance training needs and developing targeted training programs
• Monitoring regulatory developments and proactively assessing their impact on the business
• 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

Requirements

• Relevant ICA certification, professional qualification(s), or equivalent
• At least 3 years of relevant experience in compliance (or a similar role)
• Thorough knowledge of the GFSC (local regulator) and other applicable regulations
• Knowledge of the banking and asset management industry is preferred but not required
• Experience in conducting compliance monitoring reviews
• Analytical and problem-solving skills
• Strong negotiation skills and the ability to remain steadfast under pressure
• Building and maintaining effective working relationships with key business partners and second- and third-line staff
• Taking responsibility and being accountable for one's own decisions

We offer

No information available.