Description
I am looking to hire a Compliance Manager for one our direct client based in London.
Description:
- Compliance Director supports the department's role in implementing the DDRL compliance programme and supporting efforts to further DDRL's compliance with applicable laws and regulations.
- Administer policies and procedures reasonably designed to prevent violations of applicable laws and regulations;
- Manage the production of Compliance programme status reports, presentations and metrics provided to senior management, Board Committees, and Risk Committees, which requires interaction with the Chief Compliance Officer.
- Collaborate with relevant stakeholders within Compliance and other control functions to assess and report on regulatory risk tolerance adherence for DDRL.
- Maintain and control record retention procedures, ensuring consistent and ongoing document classification and version control.
- Provide appropriate and consistent management reporting for communicating and escalating compliance matters and facilitate reporting on the status of regulatory and compliance matters.
- Conduct internal facing compliance program assessments in response to proposed or recent changes to applicable laws, regulations or guidance.
- Coordinate Compliance department responses to regulatory inquiries, examinations and internal audits, as needed.
- Lead periodic lessons learned sessions to identify trends from regulatory exams, enforcement actions, or industry best practices and monitor implementation of program enhancements where required.