Job Description
Job description
We are seeking a dedicated and detail-oriented Compliance Associate to join our team. The successful candidate will be involved monitoring compliance risks, conducting audits, assisting in the development of policies and procedures, and providing guidance to various departments to promote a culture of compliance.
Key Responsibilities:
Regulatory Compliance:
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o Monitor and ensure adherence to applicable laws, regulations, and industry standards.
o Assist in regulatory filings and maintain up-to-date records of regulatory requirements.
o Stay updated on changes in laws and regulations that affect the business and communicate updates to stakeholders.
Policy Development and Implementation:
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o Assist in drafting, reviewing, and updating compliance policies and procedures.
o Ensure internal policies are aligned with regulatory requirements and industry best practices.
o Support the dissemination and implementation of compliance policies across the organization.
Compliance Monitoring and Audits:
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o Conduct periodic internal audits and reviews to assess compliance with policies and regulations.
o Identify gaps, risks, and areas of improvement and recommend corrective actions.
o Maintain documentation of audits and follow up on remediation plans.
Risk Assessment and Mitigation:
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o Assist in risk assessments to identify potential compliance risks within the organization.
o Develop and implement measures to mitigate risks and enhance controls.
o Support due diligence processes for third-party vendors, clients, and business partners.
Training and Awareness:
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o Assist in developing and delivering compliance training programs for employees.
o Promote a culture of ethical conduct and regulatory awareness within the organization.
o Respond to compliance-related inquiries from employees and provide guidance.
Reporting and Documentation:
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o Maintain compliance records, reports, and documentation in an organized manner.
o Prepare reports for senior management and regulatory authorities as required.
o Support the preparation of compliance-related presentations and materials.
Incident Management and Investigations:
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o Assist in investigating compliance breaches or concerns.
o Document findings and recommend corrective actions.
o Work closely with legal and risk management teams to address compliance issues.
Qualifications & Experience:
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o Education: Bachelor's degree in Law or a related field.
o Experience: 1-3 years of experience in compliance, legal, audit, or risk management.
o Knowledge: Familiarity with regulatory frameworks relevant to the industry, such as GDPR, FCA, AML, or other jurisdiction-specific regulations.
Skills:
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o Strong analytical and problem-solving abilities.
o Excellent communication and interpersonal skills.
o Attention to detail and a high level of integrity.
o Ability to handle sensitive information with discretion.
o Proficiency in Microsoft Office Suite and compliance management tools.
o Certifications (Preferred but not mandatory): Certified Compliance & Ethics Professional (CCEP), Certified Anti-Money Laundering Specialist (CAMS), or other relevant compliance certifications.
Job Type: Full-time
Schedule:
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o Monday to Friday