Key Responsibilities:
Compliance Oversight:
- Maintain robust regulatory frameworks to ensure ongoing compliance with conduct-related obligations.
- Develop and execute an annual, risk-based compliance assessment and monitoring program.
- Ensure accurate and timely submission of regulatory reports to relevant authorities.
- Deliver comprehensive compliance training across the organisation.
- Identify, manage, and periodically review conflicts of interest to ensure effective mitigation.
- Provide regular compliance updates and reports to the Head of Compliance.
- Monitor adherence to GDPR, EU data privacy laws, and internal global privacy policies through structured reviews and frequent monitoring.
- Oversee the maintenance of key data protection records, including processing activities, data breaches, rights requests, and impact assessments.
- Evaluate personal data breaches, determine regulatory reporting requirements, recommend corrective actions, and track recurring issues.
- Liaise with clients and prospective clients regarding data privacy compliance obligations.
- Act as a key resource for staff and stakeholders on data subject rights and privacy matters.
- Compile and present data protection metrics and insights to the Board and governance bodies.
- Brings 5–8 years of senior-level experience within regulated financial services, with strong expertise in European regulatory frameworks, including MiFID II, GDPR, and CBI regulations.
- Demonstrates solid operational understanding of MiFID firms or fund administrators, particularly in asset servicing and investment operations.
- Known for exceptional communication, stakeholder engagement, and influencing abilities, paired with strong presentation and coaching skills.
- Skilled at translating compliance strategies into commercial value, presenting risk insights to senior leadership, and building effective internal and external relationships.