Purpose of the role:
The Director, Compliance Advisory EMEA is a key leadership position within a R&C Team and is responsible for overseeing all aspects of regulatory compliance for the Legal and Global businesses in the EMEA region with the aim of ensuring that the business meets its regulatory obligations and conforms to industry best practices and professional standards.
Responsibilities:
- Act as primary R&C point of contact for local regulatory relationships (ongoing liaison, notifications, inspection visit co-ordination and support etc.), supporting Senior Management and Boards in the ongoing management of regulatory relationships
- Proactively consider and address potential Compliance and/or Regulatory issues with regard to new jurisdictions, licenses, and products and new areas of work/business streams within the EMEA region, driving any risk assessments undertaken and required action plans in this regard
- Identify and create awareness within the business of any emerging Regulatory, Legal and/or Compliance issues that may impact the firm and provide recommendations on possible actions
- Provide real time advice and support for strategic initiatives and priorities including regulatory license applications, jurisdictional expansion, new product/service review & approval etc.
- Work with business where necessary and appropriate to guide and assist with remediation of regulatory, Internal Audit, CMP findings etc.
- Oversee development and delivery of targeted face to face Compliance training and awareness where required
Skills required:
- Minimum of 10 years' experience in similar roles with an exemplary record of performance
- Hold a recognised and relevant professional qualification
- Thorough understanding of regulatory frameworks applicable to TCB and FSB business in Jersey
- Knowledge of regulatory requirements for other EMEA jurisdictions and ability to apply this knowledge in practice is desirable but not essential
- Proven ability to create operational capability within a dynamic and fast-paced environment
- Resilient yet flexible and approachable to encompass multiple competing demands