Senior Compliance Officer
- Plaine Wilhems
- Negotiable
- Permanent
- Added 20/03/2017
- Closing 27/03/2017
Adecco is an International HR and Consultancy firm.
Our client, a fund and management company, is looking for a Senior Compliance Officer.
Our client, a fund and management company, is looking for a Senior Compliance Officer.
The successful candidate will support the Head of Compliance in the creation and delivery of comprehensive and effective compliance reports.
Main responsibilities:
- Maintain a detailed knowledge of relevant external regulatory requirements and champion the best practice to assist the business manage its regulatory risks, deliver positive customer outcomes, avoid regulatory censure and reputational loss.
- Provide clear and pragmatic guidance on the interpretation and application of regulatory requirements and upcoming regulatory developments.
- Act as a principal point of contact on compliance queries for all staff.
- Oversee and investigate regulatory and/or conduct breaches.
- Develop and implement compliance procedures throughout the business to promote good customer outcomes.
- Identify and help mitigate risk and issues affecting the business and recommend actions to develop compliant procedures. Ensuring that more complex issues are escalated to the Head of Compliance.
- Review and approve customer collateral, call guides and agent supporting material, ensuring compliance with FCA and other relevant regulations.
- Support the Head of Compliance in analysing and interpreting compliance risks and advise on how these will affect each country and provide mitigation solutions to minimise the risk.
Qualification:
- Bachelor or degree in economics, finance, or a related field
- A master degree in the related industry will be an advantage
- At least 5 years of experience in similar position
Candidate profile:
- Detailed knowledge and understanding of the FCA handbook
- Working knowledge of Financial Promotions approvals
- Strong risk assessment, control, and testing skills, with audit-related experience preferred
- Able to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data, and complete assignments in a timely manner
- Excellent verbal and written communication skills in English and French