Regulatory Compliance Specialist
Job details
Roles and Responsibilities Assist in executing the annual GC Plan Assist in executing end to end operational Regulatory Compliance (RC) activities Group Compliance organization set-up: Ensure compliance to the approved Group Compliance processes, P&Ps during the execution of compliance engagements Support the Director in administrative tasks (organizing department files, meetings etc.) Monitoring and Reporting: Ensure the implementation of RC activities using a risk-based approach. Perform a periodic risk assessment of Regulatory Compliance obligations by the Group. Perform and complete the RC activities incorporated in the annual approved Compliance plan. Create, review and finalize agreed upon RC engagements ensuring their satisfactory closure in a timely manner. Ensure the appropriate documentation of all RC matters in a systematic and accurate manner. Support line manager to conduct requested Group Compliance related activities. Gather data and draft presentations/materials for submission to the Board, Audit Risk and Compliance Committee (ARCC) and senior management where applicable Experienced in developing regulatory compendiums/repositories and mapping them to the process owners Implementation of GC Plan: Ensure implementation and monitoring of a risk-based RC program across the Group Maintain Regulatory Risk Compendium for the Group as well as its subsidiaries Develop Risk Methodology based on the Risk-based approach Map to the process owners Execute the Regulatory Compliance monitoring plan/program (quarterly audits) Conduct/Validate goAML assessment for all the subsidiaries across the group Draft/Review/roll-out P&Ps after seeking relevant stakeholders approvals Provide support to other Compliance champions in the team Oversee & manage outsourced compliance activities as applicable Related Years of Experience: Min of: 8 years of experience in Regulatory Compliance. With experience in project management preferred Field of Experience: Real Estate or Banking Sectors (compliance department), Consultancies Experience in a legal background is a plus Desired Candidate Profile Compliance Program Development: Designing and implementing comprehensive regulatory compliance programs that align with industry standards and organizational goals. Regulatory Monitoring: Staying up-to-date with changes in regulations and laws that affect the organization and assessing their implications. Risk Assessment: Conducting regular compliance risk assessments to identify potential areas of exposure and developing strategies to mitigate risks. Policy Development: Creating, reviewing, and updating internal policies and procedures to ensure compliance with regulatory requirements. Training and Education: Developing and delivering training programs for employees to promote awareness of compliance requirements and ethical standards. Internal Audits: Conducting compliance audits and assessments to evaluate adherence to regulations and internal policies. Reporting: Preparing and presenting compliance reports to senior management and regulatory authorities, highlighting findings and recommendations. Stakeholder Collaboration: Working closely with other departments (e.g., legal, finance, operations) to ensure a cohesive approach to compliance across the organization. Investigations: Overseeing investigations into compliance violations or concerns, ensuring appropriate corrective actions are taken. Culture of Compliance: Fostering a culture of compliance throughout the organization by promoting ethical behavior and accountability. Skills: Regulatory Knowledge: In-depth understanding of relevant laws and regulations applicable to the organization's industry (e.g., financial services, healthcare). Analytical Skills: Strong analytical abilities to assess compliance risks and develop effective mitigation strategies. Attention to Detail: High level of accuracy and thoroughness in reviewing policies, procedures, and compliance documentation. Communication Skills: Excellent verbal and written communication skills for effectively conveying compliance information to various stakeholders. Problem-Solving: Strong problem-solving skills to address compliance challenges and implement effective solutions. Leadership: Proven leadership skills to manage compliance teams and foster collaboration across departments. Project Management: Ability to manage multiple compliance initiatives and projects simultaneously while meeting deadlines. Interpersonal Skills: Strong interpersonal skills to build relationships with internal and external stakeholders. Training and Development: Experience in designing and delivering training programs related to compliance and ethical standards. Ethical Judgment: Strong commitment to ethical standards and the ability to navigate complex regulatory environments.
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