Senior Compliance Advisor

**RESPONSIBILITIES**

**Regulatory & Compliance Management**

Help design and implement a compliance program, liaising with the regulator to

ensure the program adheres to regulatory and compliance standards.

Assist with the development and implementation of the compliance risk

management and monitoring plan.

Plan ongoing compliance activities and output.

**Regulatory Affairs**

Take responsibility for providing specific elements of the regulatory affairs

service with guidance from senior colleagues.

Implement initiatives that promote a compliance culture.

Ensures timely regulatory reporting, managing the relationship with the

Regulator with the support of senior management.

**Compliance Monitoring**

Plan and manage the delivery of compliance advisory and monitoring in multiple

disciplines, ensuring identification of risks and that it addresses the identified

risk areas. Monitor the closeout of findings to ensure that agreed corrective

actions are implemented and that risks are managed effectively; refer major

issues or inadequate responses through the management line.

Identify any compliance risks and take immediate remedial action.

Drive and participate in compliance activities in line with the compliance risk

management and monitoring plan.

**Insights and Reporting**

Contribute to the design and creation of reporting strategies and templates. Lead

execution of complex reports, identifying and interpreting complex patterns and

trends, and translating those insights into actionable recommendations.

Ensuring Group compliance with relevant legislation through ongoing analysis

and reporting.

Report on the compliance status of the Group internally to the General Manager,

Executive Heads, Group Chiefs and key individuals on a monthly, quarterly and

annual basis.

Drive utilization of the various compliance systems to enhance reporting.

**Information and Business Advice**

procedures, resolving queries and issues and referring very complex or

contentious issues to others.

Provide compliance advice and solutions to business and compliance monitoring

officers proactively and on request.

Involvement in various organisational projects such as new product

development, new business partnerships, new compliance developments and

business forums.

**Compliance Management System**

Contribute to the identification and evaluation of current policies and business

processes that are in the scope of the Compliance Management System;
contribute to the design of the CMS; provide specialist compliance management

input to the drafting of new policies and procedures, and design of business

processes; contribute to the quantification of the costs and business benefits of

change.

Manage and maintain an effective compliance system.

**Stakeholder Engagement**

Contribute to stakeholder engagement through identifying stakeholders, finding

out their needs/issues/concern and reacting to these by arranging meetings and

events and drafting supporting materials to promote understanding and

commitment.

Build relationships with various internal and external stakeholders.

Keep all stakeholders informed of regulatory requirements, changes and

deadlines.

**Policy Development & Implementation**

Help develop policies and procedures for an area of the organization or the

group as a whole and monitor their implementation.

Drive an awareness of these policies and procedures and ensure training is

undertaken throughout the organisation on an ongoing basis.

**Contract Requirements**

Ensure contracts meet all compliance requirements and where required,

notifications have been actioned.

Identify trends, summarize findings, and give feedback on existing contract

requirements, and provide input to ensure compliance

in contract processes.

**Leadership and Direction**

Communicate the local action plan; explain how this relates to the function's

strategy and action plan and the broader organization's mission and vision.

motivate people to achieve local business goals.

**Improvement / Innovation**

Identify shortcomings and suggest improvements to existing processes, systems

and procedures, then delivers a plan for a small element of a change

management program with guidance from a project/program manager.

**Personal Capability Building**

Develop own capabilities by participating in assessment and development

planning activities as well as formal and informal training and coaching; gain or

maintain external professional accreditation where relevant to improve

performance and fulfil personal potential. Maintain an in-depth understanding of

technology, external regulation including new compliance developments, and

industry best practices through ongoing education, attending conferences, and

reading specialist media.

**BEHAVIORAL COMPETENCIES**

**Action Oriented**

Takes on new opportunities and tough challenges with a sense of urgency, high

energy, and enthusiasm. For example, takes immedi