Assistant Manager - EMEA Compliance Officer - BFS

The EMEA Compliance Group provide support and guidance to business in EMEA region in relation with Regulatory and Corporate Compliance policies.

- Leading or participation in Compliance thematic monitoring reviews of business activities across locations

- Participation in internal business meetings and representation at client meetings

- Advice and support local operational management on general compliance matters

- Participation in ad hoc Compliance related projects

- Act as liaison with business and regulatory authority

- Oversight of assessment, communication and implementation of regulatory change to include the drafting of responses to industry papers

The role also requires the job holder to -

- ensure that the annual Compliance monitoring programme is implemented on time for the respective lines of businesses

- produce a summary of the findings clearly articulating the issues identified, providing realistic recommendations for resolution and ensuring that all actions resulting from the recommendations are tracked through to satisfactory conclusion

- provide Compliance support to EMEA lines of businesses within India

Essential Functions - Key Roles & Responsibilities:

- Sound knowledge of EMEA regulations and Compliances around these

- Should have well developed Compliance monitoring, audit and training skills

- Compliance Monitoring, Regulatory Environment and Business Support, Management Information Reporting and Training

- The role requires liaison with various businesses based in EMEA & India and as a result has potential impact on the compliance of UK and Ireland business operations including those outsourced to India

Job Qualifications -

Education: Graduate. Professional qualifications such as Chartered Institute for Securities & Investment (CISI)

Minimum of 3-5 years industry experience out of which minimum 2 years of EMEA Compliance & Risk experience with sound knowledge of EMEA regulations.