Manager/Senior Manager, Group Compliance
Job Summary
The Manager/Senior Manager is responsible for supporting the compliance program of the organization, ensuring that the company and its employees are adhering to regulatory requirements and internal policies and procedures. This role involves developing and implementing compliance strategies, providing guidance on compliance matters, and fostering a culture of ethical conduct and compliance within the organization.
Job Description
- Develop, implement, and maintain effective compliance policies and procedures.
- Conduct regular compliance risk assessments and audits to identify and mitigate vulnerabilities.
- Report to senior management on compliance efforts and progress.
- Foster collaboration across departments to ensure proper identification and handling of compliance issues.
- Provide guidance on responding to alleged violations, including recommending appropriate investigative procedures.
- Advocate for an independent body to review and evaluate compliance concerns.
- Identify compliance risks and develop corrective action plans.
- Provide training and guidance to improve the organization's understanding of compliance requirements.
- Stay informed about the status of compliance activities and identify trends.
- Collaborate with HR to ensure consistent disciplinary actions for compliance violations.
- Advise on the compliance implications of proposed transactions, ensuring proper due diligence.
Key Qualification
- Bachelor's degree in Law, Finance, Business Administration
- Professional certification in compliance (e.g., Certified Compliance & Ethics Professional (CCEP) or equivalent).