- Company Name
- HARRISTON EXECUTIVE
- Job Title
- MANAGEMENT DE TRANSITION COMPLIANCE
- Job Description
-
Job title: Transition Compliance Manager
Role Summary: Lead the deployment, monitoring, and enhancement of compliance and internal control frameworks during a short‑term transition. Ensure adherence to regulatory requirements, evaluate control effectiveness, produce corrective plans, and reinforce compliance culture across front, middle, and support functions.
Expactations: Deliver timely compliance governance, mitigate regulatory risk, document and standardize procedures, execute regulatory reporting, and support continuous improvement of the compliance function within a 6‑9 month engagement.
Key Responsibilities:
- Deploy and maintain compliance controls, rules, and best practices for distribution and management of financial products.
- Draft, update, and manage procedures and references related to financial product governance.
- Assess first‑line control effectiveness, identify gaps, and propose corrective actions.
- Execute targeted audits across front, middle, and support activities; compile test reports and recommend action plans.
- Monitor implementation of corrective actions and track remediation progress.
- Ensure marketing and communication materials comply with ethical and regulatory standards.
- Contribute to the dissemination of professional conduct codes to teams.
- Review the impact of new regulations (e.g., AMF, AIFMD), prepare risk committee contributions, and produce regulatory reporting.
- Deliver regulatory training to operational teams and promote a culture of compliance across the organization.
Required Skills:
- Strong understanding of regulatory frameworks for financial products (e.g., AMF, AIFMD).
- Experience in developing and implementing compliance policies and procedures.
- Proficiency in conducting internal audits, control assessments, and root cause analysis.
- Ability to produce clear, actionable audit and test reports.
- Excellent communication skills for reporting to senior management, committees, and staff.
- Knowledge of data protection and document control practices.
- Proactive mindset in fostering a compliance‑aware culture and training staff.
Required Education & Certifications:
- Bachelor’s or Master’s degree in Finance, Law, Business Administration, or related field.
- Professional certification such as Certified Compliance & Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM), or equivalent is preferred.
- Minimum 3–5 years of experience in compliance, risk, or internal audit in the financial services sector, ideally within a transitional or restructuring context.