Compliance role focused on being an advisory contact and responsibility for the
design and implementation of required policies and procedures, including appropriate operational and Compliance oversight
Duties & Responsibilities
- Providing day-to-day European Compliance advice and guidance to a particular European business group and being their European
Compliance "point person".
- Advising on relevant policies and procedures.
- Working with the relevant business group to ensure matters arising on the regulatory timetable are actioned.
- Producing reports for senior management on Compliance advisory activities.
- Conducting new staff Compliance inductions and other regulatory training.
- Handling routine business as usual Compliance queries from the business.
- Assisting the planning, preparation and communication in respect of regulatory visits and periodic requests.
- Conducting internal inquiries and investigations as necessary.
-Advising the Compliance Monitoring team in respect of matters relevant to the oversight of a particular European business group.