Our client is a rapidly growing boutique investment banking firm providing financial services to a range of clients.
THE RESPONSIBILITIES:
Create and oversee the implementation of effective compliance management strategies
Develop an internal framework for maintaining the highest standards of compliance across all departments
Monitor the implementation of new compliance protocols and make sure they meet all relevant legal requirements
Review compliance reports regularly, identify potential compliance breaches and safety risks, and provide advice to the Board in implementing effective solutions
Supervise and lead the compliance function ensuring the proper implementation of all compliance programmes and procedures
Oversee the performance of Compliance Training Programme to ensure the training programs can adequately educate staff and new hires about compliance procedures
Stay informed on any changes or additions to laws and industry regulations that affect the firm, especially in regards to changes in regulatory, compliance and legal statutes, regulations, protocols and procedures.
Organise presentations, meetings, and compliance seminars to promote better awareness of compliance protocols and external requirements
EXPERIENCE REQUIRED:
Experience in a senior compliance management role ideally in an investment banking/corporate finance or corporate broking environment
Currently or recently holding the SMF16/17, or a desire to do so in the very near future
High level Financial Services industry regulations and corporate procedures for maintaining compliance
Proficiency in using MS Office (Word, Excel, PowerPoint, Outlook, etc.)
Excellent project management and leadership skills
Strong organizational skills
For further information please contact Natalie Eshelby
