Compliance Manager at Spok Capital Limited

About the Role

An exciting opportunity has arisen for a motivated professional to join our organization as a Compliance Manager. This role is responsible for overseeing and managing all aspects of regulatory and policy compliance within the organization. You will develop, implement, and maintain effective compliance programs to ensure adherence to relevant laws, regulations, policies, and industry standards.

Duties and Responsibilities

Regulatory Compliance

• Stay abreast of changes in financial regulations and ensure that the organization is up to date with all relevant laws and industry guidelines
• Interpret and communicate regulatory requirements to relevant departments within the organization
• Collaborate with legal and regulatory affairs teams to address compliance issues and provide guidance on regulatory matters
• Assist in the implementation and monitoring of the Enterprise Risk Management framework, tools, practices, and policies to identify, measure, report, monitor, and manage enterprise risks
• Develop and update compliance policies and procedures to reflect changes in regulations and industry best practices
• Implement policies across the organization, ensuring that employees are aware of and adhere to compliance requirements
• Conduct regular training sessions to educate employees on compliance policies and procedures

Monitoring and Reporting

• Establish and maintain a system for ongoing monitoring of compliance activities
• Prepare and submit regular reports to senior management and regulatory bodies, summarizing compliance activities and addressing any identified issues
• Ensure that internal reporting mechanisms are effective in capturing and escalating potential compliance breaches

Administration

• Manage general office administration, including organization of meetings and appointments
• Organize office operations, procedures, and company files for easy access for management and employees
• Assist in the onboarding process for new hires