Director of Compliance

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Develop and maintain a positive and constructive relationship with the Regulators

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Ensure the effective implementation of the Firm’s compliance policies and procedures

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Perform monitoring and surveillance reviews in line with the compliance monitoring plan

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Provide support and guidance to staff on regulatory, policy and procedural issues and application

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Provide the senior management with compliance management information

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Assist with stakeholder enquiries and requests for information

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Identify, log and resolve compliance issues, client complaints and policy and regulatory breaches

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Assist with ad hoc projects, monitoring tasks and regulatory change

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Review and update policies and procedures in line with regulatory changes

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Provide compliance training to staff