Responsibilities
:
1. Develop and maintain robustpliance frameworks and policies in line with regulatory requirements and industry standards.
2. Conduct regular assessments of ourpliance programs to identify areas for improvement and implement necessary changes.
3. Monitor regulatory developments and industry trends to ensure ourpliance frameworks remain up-to-date and effective.
4. Provide guidance and support to internal stakeholders onpliance-related matters, including training programs andpliance risk assessments.
5. Collaborate with internal teams, including Legal, Risk Management, and Operations, to ensure alignment onpliance initiatives and objectives.
6. Liaise with external regulatory bodies and auditors as necessary to addresspliance inquiries and facilitate audits.
7. Stay informed about emergingpliance issues and proactively address potential risks to the business.
Qualifications:
8. Extensive experience inpliance roles within the financial services ormodities trading industry, with a focus on developing and implementingpliance frameworks.
9. Strong understanding of relevant regulatory requirements.
10. Experience of assurance testing (2nd line)
11. Good stakeholder and time management
Job ID Rootsfram