Senior Compliance Specialist

Aufgaben

• Contribute to the design, delivery and maintenance of the Compliance Monitoring Programme (CMP), including Global Minimum Controls for Compliance and Financial Crime.
• Perform ongoing testing of compliance and financial crime controls for both Group and local regulatory requirements. Track findings, recommendations and remediation actions to completion, escalating delays or deficiencies where required.
• Assess the adequacy and effectiveness of existing controls and recommend enhancements to mitigate non-compliance risk.
• Assist with investigations, including root cause analysis and identification of control weaknesses.
• Support gap analysis against Group systems, Global Minimum Standards and local legal/regulatory requirements, and assist with implementation of required controls.
• Conduct thematic compliance reviews, producing clear, risk-focused monitoring reports and recommendations.
• Draft, review and maintain CMP documentation, compliance policies, procedures and manuals to ensure alignment with global standards and local regulation.
• Assist with the maintenance of key compliance documentation, including the Regulatory Obligations Register, Regulatory Compliance Manual and the Market Conduct Risk Assessment.
• Being part of the local Policy Desk and assisting with any queries arising from Group Policy Desk.
• Support the preparation of regulatory submissions, internal Group reporting, and management information for governance committees and senior management.
• Provide data gathering, analysis and insight to support compliance reporting and decision-making.
• Identify compliance training needs and support the development and delivery of targeted training.
• Monitor regulatory developments and proactively assess impacts on the business.
• Support compliance input into change initiatives, new products and systems.
• Support regulatory inspections, audits and internal reviews, including preparation of responses and coordination of regulatory interactions.
• Support regulatory consultations and thematic reviews relating to Compliance, as required.
• Build and maintain effective working relationships with key business stakeholders and second- and third-line functions.
• Provide challenge to the business on regulatory interpretation and risk appetite.
• Support embedding of a strong compliance and conduct culture across the firm.
• Mentor junior compliance team members and contribute to capability building within the function.
• Deputise for the HoC, where appropriate.

Anforderungen

• Relevante ICA-Professional-Qualifikation(en) oder gleichwertig
• Mindestens 3 Jahre relevante Erfahrung in Compliance (oder ähnlicher Rolle)
• Gute Kenntnisse der GFSC (lokale Aufsichtsbehörde) und aller anderen anwendbaren Regeln
• Kenntnisse der Banken- und Vermögensbranche sind wünschenswert, aber nicht unbedingt erforderlich
• Erfahrung in der Durchführung von Compliance-Überwachungsprüfungen

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