Beschreibung

As a Compliance Manager, you will play a crucial role in ensuring regulatory adherence by managing examinations, drafting reports, and fostering relationships with key stakeholders. Your day-to-day responsibilities will involve providing guidance on compliance matters and enhancing procedures to address potential incidents.

Anforderungen

• •Significant experience in compliance or regulatory control processes
• •Experience interacting with regulatory inquiries, ideally with EU regulatory bodies
• •Experience in designing and implementing compliance policies and procedures
• •Experience managing compliance teams
• •Advanced communication skills to report regulatory compliance information
• •Strong analytical and investigative skills
• •Understanding of ESG risk rating business, advantageous
• •Degree in law or similar discipline, a plus

Aufgaben

• •Manage regulatory examination preparations and conduct
• •Draft compliance reports for European regulatory authorities
• •Report compliance issues and risks to the CCO
• •Foster relationships with ESMA and internal control functions
• •Support the CCO in implementing compliance for new business processes
• •Assist in overseeing compliance program alignment with regulations
• •Provide guidance on conduct and compliance matters
• •Identify compliance vulnerabilities based on review findings
• •Enhance procedures for reporting and investigating compliance incidents
• •Maintain records of violation reports and actions taken
• •Share best practices and expertise within the Compliance team
• •Assist in developing and delivering compliance training materials
• •Contribute to the improvement of global compliance programs
• •Maintain compliance files and records
• •Implement policies for the global compliance program operation