Head of Compliance at Alan & Grant

Job Summary

• The Head of Compliance will be providing specialist compliance and risk, advice, ongoing maintenanc and development of the organizations' risk and compliance frameworks, in accordance with regulatory, industry, legal and business standards and requirements.

   Key Responsibilities

• Manage the implementation and administration of Compliance Policies,Procedures and Initiatives.
• Ensure consistent monitoring, implementation and compliance with global practice and legislation laws
• Develop and implement techniques for compiling, preparing and presenting risk data.
• Develop and implement risk metrics that enable informed decisions
• Oversee all business operations relating to compliance, including policies, investments, and procedures
• Create and oversee the implementation of effective compliance management strategies
• Design and monitor control systems to deal with violations of legal rules and internal policies.
• Develop and implement company policies and regulations
• Oversee all business operations relating to compliance, including policies, investments, and procedures
• Review and evaluate company procedures and reports to identify hidden risks or common issues
• Monitor the applicable laws, stay on top of the dynamic laws and regulations and make changes to the system as and when required
• Gather, analyze, and interpret technical data, and translate it correctly into official regulatory submissions
• Liaise with SEC and other regulatory bodies
• Provide specialist advice on core matters concerning regulatory compliance, aiming to keep the company’s products and services within the quality control circle.

Requirements

• First Degree in law or related field and post-graduate education with a focus on compliance and risk management
• At least 10 years of working experience as a senior compliance manager
• Proficiency in using MS Office (Word, Excel, PowerPoint, Outlook, etc.)
• Proficiency in industry trends, laws, and regulations
• Excellent project management, leadership, organizational, communication and analytical skills
• AML/CTF qualifications are desirable
• Superior knowledge of industry regulations and corporate procedures for maintaining compliance