Compliance Specialist, Policy Framework and Governance
Domestic & General
Job Level
Mid-LevelSenior
About the role
- Help ensure the Firm and its employees are in demonstrable compliance with applicable regulations at all times
- Provide advice to the business on appropriateness and effectiveness of controls and application of regulations
- Carry out day-to-day tasks required under the Compliance Framework and Compliance Monitoring Plan
- Advise on regulatory implications for new business initiatives and ensure compliance considerations are represented
- Perform compliance monitoring and testing per the Compliance Monitoring Plan and Firm Risk framework
- Conduct annual reviews and updates to the Firm’s suite of policies and procedures
- Ensure processes and procedures account for local laws for the Italian and Spanish branches while aligned to group policies
- Prepare and deliver reports to governance Committee and assist in Board reporting
- Monitor and oversee activities of the sales function, including Tied Agents
- Represent FII Compliance at project meetings and other business initiatives
- Promote a positive compliance culture and deliver tailored training for staff
- Monitor, analyse and interpret regulatory changes and perform gap analysis
- Engage with FII Senior Management on regulatory matters and provide oversight, challenge, guidance, support
- Perform ad-hoc compliance tasks as reasonably directed by the Chief Compliance Officer
Requirements
- Minimum 4 years of experience in a Compliance/2nd line role within a regulated firm
- Degree educated
- Excellent communication and writing skills
- Experience in collaborating with Senior Management in a multi-jurisdiction enterprise
- Experience leading aspects of a Compliance Programme
- Italian and/or Spanish language skills a considerable advantage
- LCOI qualification preferable
- Displays an aptitude for learning, strong work ethic, and the ability to work collaboratively
