Compliance Manager

3-5 years of experience in compliance / regulatory control processes developed in Compliance, Internal Audit or Legal within Financial Services
Highly developed interpersonal skills to build and maintain effective internal and external relationships
Advanced communication skills (verbal and written) to report regulatory compliance information
Strong analytical and investigative skills and sound judgment
A bachelor’s degree is required

Support the compliance program to meet the relevant regulatory requirements
Provide advice and guidance to employees on matters relating to conduct and compliance
Support the preparation for, and conduct of, regulatory examinations or inquiries
Prepare and file any compliance reports required by regulators
Support standard procedures for the intake, investigation and reporting of potential compliance related incidents to ensure that they are appropriately and consistently evaluated and resolved
Report on existing and emerging compliance issues, vulnerabilities and risks to the CCO
Maintain records of any incidents/violation reports received, including details of any actions taken
Contribute to the ongoing development of the Compliance team by sharing best practices, knowledge, expertise, and lessons learned on a regular basis
Assist with the development, maintenance and delivery of compliance materials and training
Assist with the continuous improvement of global compliance programs
Maintain compliance files and records
Assist with implementing and maintaining policies and procedures for the general operation of the global compliance program
Foster, and maintain, a good working relationship with relevant regulators (including ESMA and BaFin) as well as compliance colleagues, members of other internal control functions and business management

Experience interacting with, and responding to inquiries from, regulators is preferred
Understanding/experience of credit rating or index or ESG businesses would be an advantage