Legal & Compliance Manager

Client acceptance

· Manage all client acceptance compliance requirements ensuring that anti money laundering, conflict and sanction checks are completed in line with company policies and legislative requirements in advance of undertaking client instructions

· Implement, improve and continuously develop robust client acceptance policies and procedures

· Implement appropriate document management procedures to facilitate maintenance of client acceptance records

· Develop, administer and maintain a conflict of interest register in line with the Company Conflicts of Interest policy and procedures

· Support department heads in implementation of policies including periodic audits of client acceptance files

· Develop client acceptance training and ensure that all staff understand requirements and complete refresher training on a periodic basis

· Drive cross industry initiatives around adoption of standard acceptance procedures

Risk management

· Manage risk register in conjunction with the Finance and Operations Manager ensuring ongoing maintenance of same

· Support periodic risk assessments and the timely completion of associated follow-up action plans particularly remediation of identified control weaknesses including the development and implementation of controls to mitigate key risks

· Lead in the preparation of the self-assessment questionnaire for submission to the regional office on an annual basis including identification and taking ownership of actions required to address gaps and weaknesses along with subsequent follow up to completion.

· Review vendor/sales contracts to ensure all terms are consistent with local laws and regulations to minimize risk to the company.Provide legal advice to all departments to mitigate key risks and recommend when it is necessary to use external professional consultants

Insurance and legal

· Liaise with key parties both internal and external in relation to insurance requirements and update and manage key Insurance schedules

· Maintain a register of legal and insurance claims and ensure that group legal and insurance providers are notified of any such claims including developments in respect of the same on an ongoing basis

· Manage any potential or actual litigation which may arise and to ensure timely reporting to regional legal and compliance

Data protection

· Continuously review existing data protection processes and practices, identifying and documenting areas that need to be improved and implement improvements as appropriate

· Ensure that data protection frameworks, policies and procedures, information security, incident management procedures and compliance documentation are in line with local regulatory requirements

· Schedule and roll out compliance training including periodic refresher training

· Ensure that Company privacy policies meet the applicable local requirements and organisational requirements and departments implement appropriate governance structures around client data

Internal audit

· Regular communication and liaison with Company group risk and compliance

· Corporate with internal audit team to monitor and to ensure all findings are addressed and closed.

Policies and procedures

· Collate and update changes as required to assist in the preparation, implementation and promotion of appropriate policies and procedures across the business.

· Ensure that internal controls are in place and that they adhere to best practice standards

· Establish written policies and procedures as necessary

· Drive agreed process change improvements

· Establish compliance metrics reporting on the internal control process

· Disseminate information including written policies and procedures related to compliance activities

· Continually drive improvement in quality and efficiency of companywide policies and processes through alignment of local and global processes and policies as appropriate

Other

· Discuss emerging compliance issues with management and/or employees and develop appropriate strategic plans

· Assist with the development and implementation of a compliance training program including providing and delivering compliance training as required.

· Coordinate with law firms and legal consultants when necessary

· Prepare management reports regarding compliance operations and progress<