Compliance Specialist
As a Compliance Specialist, you will play a critical role in ensuring the company's adherence to regulatory requirements. Your primary responsibility will be to plan and execute testing programs to assess compliance with regulations and internal policies. You will work closely with the EMEA Compliance Testing Regional Manager and partners to complete and report on specific reviews.
Key Responsibilities:
1. Establish the appropriate scope and test steps for individual reviews
2. Conduct and document testing reviews to assess compliance with and adherence to regulations/legislation and internal policies
3. Engage with Compliance SMEs to understand any matters for concern related to applicable reviews
4. Apply analytical skills to review information and determine potential weaknesses or exceptions to policies/processes
5. Validate and summarise testing results in clear, concise language
6. Detect and advise Compliance and Business Unit management of potential compliance issues and identify changes and/or enhancements to improve efficiencies in procedures
7. Track identified issues to closure via periodic follow up with action owners
8. Develop relationships with Internal Audit to coordinate testing efforts and share results
9. Conduct meetings with business unit partners and management to discuss testing results and where applicable challenge management responses
Skills and Qualifications:
The successful candidate will have:
1. Proven experience related to compliance, compliance testing/monitoring or auditing
2. Knowledge of Guernsey and/or EU regulations and key regulatory developments would be an advantage
3. Highly motivated individual who has a proven record of using initiative to resolve problems
4. Analytical ability to identify and understand problems as well as to provide effective solutions
5. Excellent written and oral communication skills
6. Confidence and expertise to advise and challenge senior management and the business
7. Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
8. Ability to deal effectively with multiple competing deadlines