Regional Compliance Officer Duties:

• Keep up to date with and ensure the Group is compliant with its regulatory and legislative obligations at all times
• Continually review Group procedures and recommend and implement agreed changes to improve efficiency and effectiveness
• Oversee the smooth running of the Compliance Department
• Provide training to other departments on appropriate compliance issues Implement all necessary procedures in an accurate and timely manner for all regulatory and legislative obligations.
• Give full support and guidance to line managers on all regulatory and legislative matters
• Ensure the Group manual(s) is reviewed and up to date
• Implement effective communication routes to Group Companies to ensure all working to same standards and procedures
• Ensure adequate training is in place and available where procedures are not being adhered to
• Implement accurate administration systems to document and record new/changes/amendments made to manual(s)/procedures in line with the Groups regulatory and legislative obligations
• Perform risk assessments to understand risk level, significance and scope
• Reporting to Group Board and Senior Management Team on current risk and compliance performance
• Educate Group employees on rules and regulations and also the impact on the Group it there is non-compliance
• Review marketing materials presentations and websites to ensure compliance with regulatory and legislative obligations
• Assist in gathering information for reporting purpose to any Group regulator
• Willingness to participation in regular online Company training

Regional Compliance Officer Skills, Abilities and Experience:

• Ability to undertake regular training to retain compliant status; and for ongoing development within the Group
• Experience in training and management of staff
• Provide excellent customer service
• Excellent attention to detail and accuracy of notes, documents produced
• Undertake special projects
• Critical problem-solving ability
• An ability to analyse and interpret information quickly
• Good project management skills

Compliance Officer Responsibilities:

• Carry out background screening checks for new temporary and contract workers
  
• Conducting ID & Right to Work checks
• Requesting employment and education references
• Completing qualification checks
• Requesting credit and criminal checks
• Investigating gaps in employment
• Carrying out other checks as may be applicable (i.e. directorship, sanctions, media checks)
• Creating a compliance pack for all new starters
• Updating candidate records with compliance information
• Build relationship with the candidates to support them through the screening process
• Ensuring all checks are carried out in line with legislation and client requirements
• Assist with compliance queries and audits 

Compliance Officer Skills, Abilities and Experience:

• Previous experience in candidate screening or administration within a recruitment industry
• Understanding of candidate recruitment processes
• Excellent communication skills and customer services skills
• Strong attention to detail
• Highly organised with ability to prioritise urgent tasks
• Ability to work to strict timescales
• Strong interpersonal skills and ability to work as part of a team
• Self-motivated with a positive attitude
• Excellent staff benefits and company discounts
• Generous holiday allowance
• Team events and meals out
• Access to a wide range of learning and development opportunities
• Working in a lively but friendly atmosphere with an opportunity to develop the next stage of your career
• Exciting opportunity to be part of one of the largest and fast growing recruitment organisations in the UK

Compliance Officer Duties and Responsibilities:

• Conduct quarterly control testing (including supervisory controls) for the global Alternatives business
• Prepare management reporting of results of quarterly control testing, status of audit issue closure and ongoing project status / risks
• Support the preparation of US regulatory filings, such as annual ADV updates
• Coordinate the global Alternatives delegation oversight process, including collection and reporting of quarterly MIS
• Coordinate with the businesses to ensure that procedures documents are updated annually and accurately represent business operations and key controls
• Assist with the closure of audit and Compliance issues
• Identify any recurring issues and analyze their causes in order to reach a solution
• An understanding of regulations affecting Registered Investment Advisers (e.g., Investment Advisers Act)

Compliance Officer Qualifications:

• Experience in the following roles would be beneficial (although not required): Compliance Advisory, Compliance Control Testing, Operational Risk Management, Internal Audit, Public Accounting - Audit, Regulatory Change / Implementation, Risk & Control Evaluation
• Highly motivated
• Excellent communication skills -written and verbal
• Creative problem solving abilities
• Basic understanding of Alternatives products a plus (e.g., Real Estate, Infrastructure, Private Equity.)
• PowerPoint presentation skills
• Flowcharting skills (e.g., Visio)
• Candidates should have 2+ years of Compliance, Regulatory, and/or Risk & Control Evaluation experience

Compliance Officer Roles and Responsibilities:

• Collaborate across disciplines to develop, implement and operate compliance policies, processes and procedures to cover regulatory and statutory obligations pertaining to regulators, products and services.
• Manage, control and oversee compliance activities.
• Track and ensure completion of all new and ongoing regulatory obligations and reporting
• Respond to internal/external audits and regulatory inquiries/examinations.
• Serve as the primary day-to-day contact with (i) regulators for Eris Exchange or Eris Clearing, both in drafting self-certification filings amendments, responses and notifications, and (ii) internal product and business teams on products and initiatives.
• Provide summaries of proposed and final rulemakings to the Management Team and business units.
• Oversee the market regulation program, including market and trade practice surveillance, or the clearing program.
• Individuals are not disqualified from serving in the compliance officer capacity pursuant to the Commodity Exchange Act and CFTC Regulations, and possesses integrity and understanding of duties of loyalty and care; honesty and ethical behavior.
• Experience with an FCM, exchange, broker-dealer, or the SEC, FINRA, or CFTC; experience in CFTC-regulated entities, especially DCMs and DCOs strongly preferred; general familiarity with laws and regulations governing the regulated entity and the CCO function with an ability to provide guidance and direction on related issues strongly preferred.
• Working knowledge of market, trade practice, and AML alert generation systems, inquiries and investigations, close-outs, and daily reviews.
• Trading or clearing background with the ability to understand and breakdown complex trading strategies.
• Proven or demonstrated knowledge of compliance best practices and ability to develop a comprehensive compliance program.

Compliance Officer Requirement:

• Ability to work in a small-team environment, to work independently and to multi-task with minimal supervision.
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
• Familiarity with state money transmitter regulations.
• Bachelor’s degree or higher (applicants with a law degree will be considered for a joint compliance and counsel role).
• Excellent written and oral communication skills
• Practicing attorney with a minimum of 5 years of experience in financial markets, with working knowledge of legal and regulatory issues covering financial trading, market structure, payments, cryptocurrency, and distributed ledger.
• Exposure to and relationships with key state and federal regulators (including the Commodity Futures Trading Commission, Securities Exchange Commission, and New York Department of Financial Services, Federal Reserve and Office of the Comptroller of the Currency).
• Written and oral communication suitable for board-level interaction

Duties of Compliance Officer:

• Internal process development and review
• Internal process auditing and feedback
• Review of and feedback on proposed Terms & Conditions changes
• Internal security management and GDPR considerations
• Compliance with ISO27001 and preparation for audit
• Compliance with ISO9001 and preparation for audit
• H&S administration and coordination of certified audit
• Reporting to the Board on all matters of compliance

Skills and Experience of Compliance Officer:

• Self-motivated and be able to work independently
• Be able to understand and interpret legal narrative and assess conformance against criteria
• Be able to identify risk and be adept at communicating likelihood and impact
• Demonstrates ability to quickly gather relevant facts, data and information
• Demonstrates a good level of written communication and follows up regularly
• Has the ability to remain objective
• Understands who to involve and when
• Demonstrates strong organisation and planning skills
• Visibly takes ownership for challenges and sees them through

Compliance Officer Duties:

• Assist with implementing appropriate compliance policies and procedures
• Support the monitoring of the business’ compliance with relevant and applicable regulatory and policy requirements
• Provide guidance and recommendations on corrective actions or risk mitigation strategies and ensure proper implementation
• Manage the enterprise central policy repository and review cycle
• Conduct new hire compliance orientation training and coordinate the delivery of annual compliance training
• Maintain internal control logs and other compliance recordkeeping requirements
• Coordinate the annual and ongoing review of the Compliance Program
• Coordinate the preparation and publication of the Company’s compliance newsletter
• Stay up to date with regulatory developments, and interpret and apply across the Company’s business
• Assist with enterprise compliance projects and programs as needed

Compliance Officer Qualifications:

• Bachelor’s degree coupled with a minimum 2 years of job-related work experience in compliance and/or risk management
• Demonstrated ability to interpret and apply legislation, internal controls, policies and procedures
• High ethical standard – able to confidentiality handle sensitive information
• Strong interpersonal skills and ability to work with various levels of employees
• Ability to use sound judgment, problem-solving skills, and analytical skills
• Ability to work quickly and accurately, with the flexibility to deal with priorities
• Ability to coordinate and manage tasks and initiatives
• Excellent verbal and written communication skills with strong attention to detail
• Strong proof-reading skills to produce error-free documents
• Proficiency in MS Excel, Word, Outlook and PowerPoint

Compliance Officer Duties:

• Using compliance risk method, identify and assess vendor risk and business continuity risk and compliance
• Manage contract compliance and customer application versions
• Manage data privacy incidents and customer complaints
• Assist in financial compliance SOX 404 and capital adequacy/liquidity
• Manage the abandoned property program with state authorities
• Partner with business units to advise on compliance policy and oversight

Compliance Officer Skills and Qualifications:

• Bachelor's Degree; Business, Finance, or equivalent field or equivalent work experience
• Must have at least 5 years work experience with a minimum of 3 years of direct experience in retail financial services, banking or industry-related compliance.
• General knowledge of retail finance and banking operations and its related rules and regulations including any relevant New Hampshire Banking Department requirements
• Prior exposure to vendor risk management and recovery and resolution planning is a plus
• Knowledge of regulatory and compliance risk methodology and standards
• Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in our compliance systems as required to perform the duties of this position.
• Proficiency in written word and communication

Responsibilities of Compliance Officer:

• Supervising firm’s usage of expert networks
• Leading anti-money laundering screening effort; responding to inquiries
• Assisting with onboarding new hire/long term consultant/interns
• Assisting pre/post-trade surveillance and forensic testing, e.g., allocations of opportunities, short sales, fund restrictions, flagging suspicious activity
• Completing periodic compliance reviews (expenses, soft dollars, valuation, trading, restricted list and email surveillance) and assisting with the 206(4)7 annual review process
• Gathering and analyzing data for the Trade Practices Committee to review soft dollars and best execution
• Assisting with regulatory inquiries and examination
• Assisting with the preparation of regulatory filings

Requirements of Compliance Officer:

• Bachelor's degree required
• Two years of SEC Registered Investment Adviser (private funds) experience
• Self-starter
• Strong proficiency in Excel and PowerPoint
• Ability to effectively prioritize and execute multiple tasks in a high-pressure/deadline-oriented environment
• Ability to adapt to shifting priorities, demands and timelines
• Excellent problem solving skills and sound judgment
• Organized with attention to detail

Roles of Compliance Officer:

• Maintain strong technical knowledge of relevant regulations, keeping up to speed with new developments and the latest regulatory position
• Identify new regulatory developments that impact the business
• Contribute to the weekly and monthly update reports by preparing summaries of key regulatory developments
• Prepare impact assessments on regulatory developments and track actions from confirmed changes to confirm that the business is compliant
• Support the development of policies and procedures to establish and maintain standards of compliance with legislation, regulation and codes of practice
• Maintain regulatory change processes and ensure records are up-to-date
• Attend internal committees to provide updates on regulatory developments
• Raise Chubb’s market profile through interactions with insurance associations and regulators.
• Support regulatory policy influencing work, as required
• Management of own allocated workload

Ability and Experience of Compliance Officer:

• Experience of working in a regulated industry (insurance industry, especially non-life sectors, preferred)
• Ability to extract the key information from long documents such as consultations or legal documents
• Ability to understand how new regulation might impact an insurance company and give advice on this to impacted departments
• Excellent written and verbal communication skills
• Adept at managing competing priorities
• Comfortable dealing with senior managers
• Other European languages (especially French) is a bonus