Compliance Sr Manager

If you have experience at a Banking or Financial instutution that is regulated by the FSA and have put in place good proceedures and governance of the compliance process but find that the sales teams or people at the front of the business do not appreciate or pay attention to Compliance, this position could be for you.

Our client is an established financial institution, they are looking for a Sr Compliance Manager to take lead of a certain area of compliance that bridges the gap between the proceedures and requirements of the regulators and the sales teams.

You would;

Review and identify any risks in the sales and marketing materials

Raise common risks and non compliance

Develop a standard and comprehensive FAQ and process to ensure that sales and marketing teams are up to date.

Ensure that publications of materials as well as communication is clear and within the mandated policy of the firm and the requirements of the JFSA.

Requirements:

5 years prior experience in financial services, especially compliance, operations or audit.

Can make a positive impact on the whole business from a compliance point of view.

Manage and monitor compliance operations, including AML to maintain appropriate compliance and conduct.

Review regulatory requirements, initiatives rolled out by the Japanese regulator, carry out gap analysis and ensure timely implementation.

Design and arrange compliance related training program.

Conduct quality assurance check on sales compliance.

This position reports to the head of compliance and you would interact with the head of sales and marketing and the steering committee.