Compliance and Regulation Manager

2 weeks ago

City of London, United Kingdom Centre People Full time

**Compliance and Regulation Manager (Ref: MS44804)**

A large international financial services organisation is looking for a Compliance and Regulation Manager to join their London office.

**Type**: Permanent, full-time

**Working hours**: 9:00-17:30 from Monday to Friday

**Salary**: around £60k DOE

**START**: ASAP

**Location**: London

**MAIN ResponsibilitIES**:

- Provide a pro-active and re-active day-to-day advisory service in relation to compliance and regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters which impact and related affiliate entities
- Liaise closely with the business and the other control functions covering the business to identify and manage the compliance and regulatory risks associated with specific activities and the business as a whole
- Ensure that compliance and regulatory policies and procedures are documented, implemented, and communicated
- Develop and deliver induction and ongoing training when required on compliance regulatory requirements, policies and best practice issues
- Assess new products, services and systems considering new and existing policies and

procedures, before, during and after their development and implementation
- Liaise with internal departments to manage regulatory reporting and related affiliate entities and file required compliance reports with regulatory agencies
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed
- Liaise with internal or external auditors on compliance and regulatory matters
- Identify compliance issues that require follow-up or investigation and support the conduct of internal investigation of compliance issues
- Monitor compliance systems to ensure their effectiveness, maintain documentation of compliance activities and submit reports regarding compliance operations and progress as required
- Stay abreast with industry changes, trends, and best practices and assess the potential impact of these changes on the business
- Provide guidance on the design and implementation compliance standards
- Build and strengthen relationships with key stakeholders in Europe and Tokyo Headquarters (THQ)
- Perform other related tasks as assigned by management and to meet business needs
- Comply with policies and procedures
- Around 8 years’ experience in compliance or regulatory reporting required; Payment Card Industry experience is desirable
- Minimum Bachelor's degree or equivalent
- Minimum business level proficiency in Japanese (verbal, written and reading)
- Knowledge of the principles, procedures, and techniques of compliance and regulatory reporting
- Ability to develop user friendly internal policies and procedures based on the relevant laws and regulations
- An understanding of the legal and compliance issues of complex financial services organisations
- An understanding of legal entity structures and organisations
- Good experience of Financial Services and related Anti-Money Laundering (AML) risks.
- Intermediate or advanced proficiency in the MS Office Package
- Good knowledge and understanding of the industry and the regulatory environment
- Demonstrable analytical and data interpretation skills
- An understanding of regulatory reporting requirements
- Good presentation skills, articulate, able to communicate quickly and clearly at all levels
- Resourceful in resolving issues and solving problems, leveraging resources to get results
- Creates an atmosphere in which timely information flows smoothly both upward and downward through the organisation; possesses exceptional communication and presentation skills
- Supports, manages and initiates change within the organisation, taking steps to remove barriers or to accelerate its pace
- Actively pursues learning and self-development to enhance personal, professional and business growth; shares learning
- Ability to work independently and take initiative
- Strong interpersonal skills with the ability to negotiate and influence others at all levels, including senior management.
- Effective decision-making skills; can choose a prompt course of action amongst options involving uncertainty or risk.

** All applicants must have the right to work in the UK as the Company is not able to offer visa support.**

Compliance and Regulation Manager (Ref: MS44804)
A large international financial services organisation is looking for a Compliance and Regulation Manager to join their London office.

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