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Job Description
Compliance Strategy, Assurance & Framework Lead
THE COMPANY:
Our client is a leading Financial Services firm looking to expand their Compliance team in the Compliance Strategy, Assurance area
THE RESPONSIBILITIES:
- Second line assurance function aiming at performing monitoring and testing of compliance controls operated by business owners, with a view to provide the Board with the comfort that the firms compliance risk exposure is under control
- Compliance Framework ownership: compliance is a regulated function that must perform its activities according to defined standards. Purpose of this role is to ensure those standards are known, documented and embedded in the way compliance colleagues across the group do their job,
- Compliance & Ethics Strategy where you will be tasked to follow the evolution of compliance & ethics functions across the industry and beyond, assess whether these are relevant for firm, and make sure we adopt them adequately.
- Act as a leader to oversee the delivery of your team but also ensure their optimal development and growth,
- Scan the market to detect and assess new compliance & ethics evolutions,
- Be the owner of compliance & ethics framework, including the relevant compliance function policies and charters and its associated implementation guidelines,
- Coordinate the activities of Regulatory Forum aiming at detecting new regulatory initiatives applicable to firm and overseeing their implementation by business owners,
- Define strategies to continue embedding the accountability of first line when managing their compliance risks,
- Define the best way for Compliance to perform its second line monitoring and assurance function, including ownership of the multi-year testing plan and challenges of controls as proposed by business owners.
- You will be part of the Compliance Senior Management team.
EXPERIENCE REQUIRED:
- Leadership skills in managing and developing a team of senior professionals
- Strong Compliance Strategy, Assurance & Framework, risk and controls experience
- Genuine interest in compliance & ethics functions demonstrated by an active role in industry fora and an active presence on media such as LinkedIn in the field of compliance and ethics,
- Self-starter, you are autonomous and combine both the ability to draft quality documents, but also the ability to convince others that things must be done a certain way,
- Out-of-the-box thinking, willingness to contribute to the wider management of the department,
- Strategic thinking, also combined with the ability to translate it into executable and pragmatic tools
For further information please contact Hannah Tabatabai