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Compliance manager Madrid


  • Madrid
  • Hace más de 100 días (Actualizada)
  • 22 inscritos

Jornada sin especificar - Contrato sin especificar - Retribución sin especificar - No se requiere experiencia

Cerrada Inscripción

Comparte:

Empresa

MICHAEL PAGE

International Brocker
Descripción de la oferta

Descripción de la oferta

Duración de la oferta: hasta el 25/05/2014

Funciones

The purpose of this role is to ensure the delivery of an effective Compliance function, with primary responsibility for the Spanish & Italian operations, to support the sustainability of the business and to promote and protect the reputation, assets and effectiveness of the Company, through the delivery of compliance services and advice.
. Responsible for the day to day operation of the Spanish & Italian compliance, including providing advice & solutions to the business and individual employees in particular the local Branch Manager and other departmental Heads.
. Maintain up-to-date knowledge of relevant local compliance rules, news, regulations and procedures and advise the Business accordingly
. Carry out and support the customer complaint handling process, supporting senior management and other employees to ensure all queries are dealt with
. Maintain and promote both formal and informal communication between UK and the European offices
. Review and approve financial promotions, communications with clients and all other client facing documentation which could impact local clients in accordance
. with the relevant regulatory and Group policies;
. Liaise when necessary with external bodies such as auditors, the local relevant Regulatory Authority, UK Financial Conduct Authority (FCA), and any other regulatory or Industry bodies
. To act as a conduit between the business and the central function on local legal and tax queries and offer opinion where relevant
. Carry out and support the account opening process to ensure ?Know Your Customer? and Anti-Money Laundering checks are carried out in accordance with local regulatory requirements and the Group?s internal policies as appropriate;
. Assist in the continued development of company and branch procedures in line with the changing regulatory environment
. Design and deliver any required bespoke compliance training to staff, focusing on key aspects of the business and current regulatory issues including AML,
. Market Abuse and Fraud training.
. Maintain personal/professional development to meet the changing demands of the role, participate in appropriate training and encourage/support staff in their development
. Carry out and support other functions of the legal & compliance department, including but not exclusively compliance training, maintenance of registers, transaction reporting etc;
. Provide monthly and ad hoc reporting including: confirmation that procedures are being complied with and escalate any breaches to internal and/or external parties;
. Provide a strong lead in the proactive support of the risk process within the region to identify, assess, treat, report; monitor risks
. Promote a positive risk management culture;
. Support the Group Money Laundering Reporting Officer in all aspects of anti-money laundering requirements;
. Assist the Compliance team to: investigate the impact to the region and/Group of any rule changes or updates; identifying, handling and resolving of compliance issues relating to all branches;
. Ensure a positive approach to challenge and provide open and honest feedback;
. Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training
. When dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high quality service that presents a professional and positive image of the Company.
. Take all reasonable steps to ensure appropriate confidentiality
. Undertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general level of responsibility of this role

Requisitos

Essential:
. Fluent in Spanish and English.
. Organised and self-motivated working style
. Analytical approach with attention to detail
. Strong communication skills, written and verbal
. Able to respond positively to changing priorities
. Able to work from own initiative with often limited information
. Previous quality experience in a compliance related role
. Good knowledge of the local regulatory environment and UK FCA rules
. Willingness to learn new regulatory regimes and show adaptability to local considerations
Desirable:
. Ability to liaise with internal and external customers with tact and diplomacy
. Strong team player
. Strong ability to build relationships
. Word, Excel & database experience
  • Área

    Administración de Empresas

  • Categoría o nivel

    Sin especificar

  • Nº Vacantes

    1

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