Description:
This is an exciting opportunity to work with the NTMA Compliance Unit and gain exposure to all of its varied business units and affiliate agencies. The objectives of the Compliance Unit include: the provision of support and assurance regarding compliance with applicable statutory and governance obligations as well as the provision of advice and support to the Agency, various Boards/Committees and staff in relation to their compliance obligations. The NTMA Compliance unit also provides Compliance services (including anti-money laundering and data protection) to the NTMA Affiliate Agencies.
Principal Accountabilities
Reporting to the Senior Compliance Manager / Money Laundering Reporting Officer, the successful candidate will be an experienced manager and have responsibility for providing support to the Compliance team on compliance and AML/Financial Crime risk matters.
Responsibilities include:
- Managing general compliance workflows, including market abuse controls, personal account dealing, outside business activities etc.
- Taking a lead role in maintaining oversight of the execution of the Compliance Plan, including ensuring that calendars, databases and registers are up to date
- Performing compliance monitoring and reviews along with documenting findings. Management of any open issues arising from testing and ensuring that related actions are addressed
- Taking a lead role in procuring and manging inputs from third party service providers
- Ownership for the identification, development and drafting of compliance related procedures and ensuring that they are complete and up to date
- Ownership and oversight of sanctions screening programme, including review of escalated potential matches, KYC questionnaires, contracts etc.
- Providing support to team members regarding the management of key annual processes including relevant Code of Conduct undertakings and Annual Statements of Interest
- Applying a continuous improvement mindset to the ongoing automation and enhancement of Compliance Function processes
- Working with the other team members in the delivery of accurate and timely board/committee reports, including coordination/review of inputs
- Responsible for the compliance communication programme, including ensuring delivery of key messages at appropriate times throughout the year and drafting effective communications
- Developing a sound knowledge of and keeping up to date with statutory and governance obligations as they apply to the NTMA across all of its businesses and affiliate agencies
- Co-ordinating risk attestation processes for the Compliance Unit and related areas
- Delivering compliance related training
- Leading process improvement initiatives within the Compliance team
- Providing support to the wider team and the Head of Compliance in addressing ad hoc queries and issues that may arise