Interim Compliance Director
Londres, Angleterre, Royaume-Uni
Please note that to be considered for this opportunity, you will have to be either trained or have worked in one of the Big 4 Consultancies.
- Day-to-day managements of Global compliance team (two team members in Kyiv)
- Oversight of corporate due diligence (third parties), providing advice on sanctions screening, gift and hospitality procedures
- Carrying out comprehensive risk and compliance assessments of business transactions. Consult business upon request or proactively.
- Ensure the provision of accurate and timely advice and guidance on regulatory issues, business standards, policies and procedures, ensuring consistency and dissemination of best practices.
- Ensure the Compliance team responds appropriately to all matters raised and coordinate the resolution of any regulatory incidents/breaches arising promptly, ensuring management are informed as appropriate and areas of weakness are promptly and appropriately
- Compliance escalations on suspicious activity cases. Compelling management information for senior management, CEO and the Board
- Assisting the CFO and CEO with business-wide compliance and strategic topics as required.
- Update Financial Crime Environmental risk assessment for 2018.
- Develop and deliver Compliance communication and training plan for 2018.
- Supervise ISO internal audit
- Must have advanced knowledge of regulatory requirements FCPA/UKBA/SOX404
- Must be able to manage multiple tasks simultaneously
- Proven ability to supervise staff of compliance professionals
- Advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc.)
- Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience including, but no limited to, employees, executive management, regulators and clients
- Familiarity with risk-based approach to conducting compliance monitoring activities
- Ability to travel up to 25% of the time
Minimum Education, Certifications and Experience:
- Minimum 8 years of experience in compliance or similar role within the mutual fund industry
- Supervisory experience preferred
- Bachelors Degree
- Advanced Degree and/or Professional Certifications preferred
Projects to lead:
- Project 1. Implementation of whistleblower hotline and case management. Implementation timeline Sep 2017- Feb 2018.
- Project 2. Business Continuity implementation, ISO certification. Project could be transferred to new CIO. Implementation timeline July 2017 – March 2018
- Project 3. GDPR/Data privacy. Project Team member
- Project 4. ISO Internal audit set-up (ISO 27001, ISO 9001, ISO22301)