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. 

Responsibilities:

Operation:

  • 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

 

Qualifications:

  • 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)