Interim Compliance Director

London, England, United Kingdom

Please note that to be considered for this opportunity, you will have to be either trained or have worked in one of the Big 4 Consultancies. 

Responsibilities:

Operation:

  • Day-to-day managements of Global compliance team (two team members in Kyiv)
  • Oversight of corporate due diligence (third parties), providing advice on sanctions screening, gift and hospitality procedures
  • Carrying out comprehensive risk and compliance assessments of business transactions. Consult business upon request or proactively.
  • Ensure the provision of accurate and timely advice and guidance on regulatory issues, business standards, policies and procedures, ensuring consistency and dissemination of best practices.
  • Ensure the Compliance team responds appropriately to all matters raised and coordinate the resolution of any regulatory incidents/breaches arising promptly, ensuring management are informed as appropriate and areas of weakness are promptly and appropriately   
  • Compliance escalations on suspicious activity cases. Compelling management information for senior management, CEO and the Board
  • Assisting the CFO and CEO with business-wide compliance and strategic topics as required. 
  • Update Financial Crime Environmental risk assessment for 2018.
  • Develop and deliver Compliance communication and training plan for 2018. 
  • Supervise ISO internal audit

 

Qualifications:

  • Must have advanced knowledge of regulatory requirements FCPA/UKBA/SOX404
  • Must be able to manage multiple tasks simultaneously
  • Proven ability to supervise staff of compliance professionals
  • Advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc.)
  • Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience including, but no limited to, employees, executive management, regulators and clients
  • Familiarity with risk-based approach to conducting compliance monitoring activities
  • Ability to travel up to 25% of the time

 

Minimum Education, Certifications and Experience:

  • Minimum 8 years of experience in compliance or similar role within the mutual fund industry
  • Supervisory experience preferred
  • Bachelors Degree
  • Advanced Degree and/or Professional Certifications preferred

 

 Projects to lead: 

  • Project 1. Implementation of whistleblower hotline and case management. Implementation timeline Sep 2017- Feb 2018.
  • Project 2. Business Continuity implementation, ISO certification. Project could be transferred to new CIO. Implementation timeline July 2017 – March 2018
  • Project 3. GDPR/Data privacy. Project Team member
  • Project 4. ISO Internal audit set-up (ISO 27001, ISO 9001, ISO22301)