Senior Manager, Regulatory Compliance

Reporting directly to the Chief Compliance Officer, the Senior Manager, Regulatory Compliance will oversee the regulatory operations of the global compliance program. The purpose of this role is to provide proactive and professional compliance services to the firm, specifically in ensuring that the firm is compliant with all the legislative and regulatory requirements to which it is subject.

Duties and Responsibilities:

• Assist the Chief Compliance Officer /Chief Risk Officer with the day-to-day running of the Regulatory and Compliance function
• Horizon scan to increase awareness of regulatory compliance risks affecting the business
• Ensure compliance with regulatory obligations whilst taking a commercial and practical approach to risk based challenges and offer appropriate solutions
• Continual drive for enhanced efficiency and client service (internal and external) in all Risk and Compliance processes
• Develop, lead and motivate the Risk and Compliance team to maximise effectiveness
• Ensure senior management remain informed of regulatory, legislative and best practice changes and their obligations under these changes and how they impact the Group
• Provide regular reports to the Global Head of Client Services and ERM and other relevant bodies detailing any current issues or information as required
• Manage a global team of Business Unit Compliance Leads, to ensure that periodic client file reviews are conducted, and client documentation and information are up-to-date and compliant
• Manage internal audits, including liaison with external auditors
• Providing support, education and training to staff to build risk awareness within the organisation
• Provision of proactive and practical regulatory advice to business managers and support functions
• Manage the successful delivery of compliance projects ensuring technical excellence and a practical/business driven approach. Support and lead on Group projects as assigned
• Work closely with key stakeholders to understand the business requirement for projects, develop effective working relationships during project implementation and ensure business as usual ownership is understood by management
• Receive quarterly reports from Business Unit Compliance Leads, inquire on issues that require follow-up or investigation and provide direction on resolving deficiencies
• Create, implement and maintain written policies and procedures in relation to AML and the firm’s other regulatory requirements.
• Manage relationships with relevant regulators while keeping abreast of regulatory changes and trends in all the jurisdictions in which the firm operates.
• Coordinate global regulatory reviews as required
• Oversee the employee training programs in all jurisdictions and lines of business, particularly in relation to AML, Privacy, Anti-Bribery, Code of Conduct, among others
• Ensure that the firm is compliant with all FATCA and CRS requirements
• Oversee the duties of the Assistant Manager, Regulatory Compliance to ensure the firm maintains compliance with all applicable legislation and regulations
• Receive quarterly reports from Business Unit Compliance Leads, inquire on issues that require follow-up or investigation and provide direction on resolving deficiencies
• Create, implement and maintain written policies and procedures in relation to AML and the firm’s other regulatory requirements.
• Manage relationships with relevant regulators while keeping abreast of regulatory changes and trends in all the jurisdictions in which the firm operates.
• Coordinate global regulatory reviews as required
• Oversee the employee training programs in all jurisdictions and lines of business, particularly in relation to AML, Privacy, Anti-Bribery, Code of Conduct, among others
• Ensure that the firm is compliant with all FATCA and CRS requirements
• Oversee the duties of the Assistant Manager, Regulatory Compliance to ensure the firm maintains compliance with all applicable legislation and regulations

Experience Required:

• A law degree, or a related university degree and relevant experience preferred

• Extensive regulatory compliance knowledge and experience

• Knowledge and understanding of compliance risks
• Sound understanding of regulatory trends and issues
• Compliance experience gained either in a regulatory body and/or professional services
• Proven ability to interpret and give guidance on complex legal and regulatory issues
• Ability to make and implement compliance policy and make recommendations
• Excellent written and spoken communication skills; an ability to communicate with impact, ensuring complex information is articulated in a meaningful way to wide and varied audiences
• A track record of making complex business decisions with authority, even in times of ambiguity, considering the potential long term risks and implications
• Experience in creating and deploying comprehensive business/operating plans which consistently deliver desired results
• Well-developed oversight and organizational awareness skills
• Comfortable working with geographically separated and remote stakeholders
• Ability to work across various levels of a global organization and to understand cross-functional linkages and interdependencies
• Self-motivated