PURPOSE
For this role, you manage a small team and are responsible for ensuring that the Marketing teams develop the appropriate Compliance culture, such that they strictly comply with Internal Group policies and procedures, and externally driven regulations; resulting in a well-controlled Marketing organisation, where fines due to governance failure are avoided.
TYPICAL TASKS
•Design and implementation of the firm’s Marketing compliance programme, including policy drafting, KRI definition, training for all commercial staff etc.
•Maintenance, review and reporting of employee Gift, Entertainment and Hospitality as well as Conflicts of interest registers
•Implementation and operationalisation of a Marketing team monitoring programme, to ensure that inappropriate market behaviour, such as market abuse or breaches of competition law are detected
•Establishment of a process for statutory reporting of suspicious transactions and orders
•Facilitation of the reporting of compliance reports to the appropriate regulatory agencies
•Execution of a periodic Intermediary review process and follow-up; to ensure intermediaries abide by the standards outlined in the firm’s code of conduct
•Serve as a confidential point of contact for employees to seek clarification on issues or dilemmas, or report irregularities, with regards to Compliance related matters
•Design and implement technological solutions to facilitate Marketing’s Compliance programme
• Work closely with head of departments, traders, and marketing managers.
Key requirements
-A degree qualified professional with more than 5 years of compliance experience gained with investment banks or commodity firms or law/Big 4 firms.
-Experience within a complex organisation across different countries and jurisdictions, cultures, interfacing with internal and external stakeholders.
-Has expert Compliance knowledge
-Excellent interpersonal and communication skills
-Fluent written and spoken English is a pre-requisite.
-Strong quantitative and analytical skills
-Proven ability to prioritise and work effectively to meet deadlines, strong project management skills.
