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Compliance & Risk Specialist

Mô tả công việc

The day-to-day activities:

  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.

  • Identify compliance issues that require follow-up or investigation.

  • Disseminate written policies and procedures related to compliance activities.

  • Work with local teams to ensure adequate oversight and monitoring in all required areas.

  • Maintain documentation of compliance activities, such as training, advisory.

  • Provide regular reporting on compliance matters.

  • Consult with legal team as necessary to address difficult legal compliance issues.

  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action in cases of compliance violations.

  • Advise internal management or business partners on the implementation or operation of compliance programs.

  • Provide employee training on compliance related topics, policies, or procedures.

  • Provide assistance to security and internal audit teams in internal investigations.

  • Monitor compliance systems to ensure their effectiveness.

  • Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.

  • Design or implement improvements in communication, monitoring, or enforcement of compliance standards.

  • Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.

The must haves:

  • Prior experience in an audit or compliance role.

  • Ability to work independently, self motivated, while being a team player.

  • Desire to learn more about, and develop in, compliance

  • Receptiveness to coaching and mentoring which will be provided by the Head of Compliance.

  • Ability to travel in the region is required.