Regional Director, Internal Audit and Compliance
United Kingdom, GB – Public Relations and Communications
Posted June 12, 2015 at 05:21AM from LinkedIn http://ift.tt/1f6t9pb
Job Description:
The Regional Director, Internal Audit and Compliance will report to the Global Compliance Officer and is responsible for providing local internal audit and compliance support for the respective region. The position will provide internal audit services to ensure that key financial and compliance controls and procedures are being implemented and to work together with local and regional management in identifying and resolving potential issues or exposures. They will also provide compliance support for personnel throughout the region, as well as assistance in the development and implementation of compliance related policies and procedures.
General Duties & Responsibilities
Internal Audit Responsibilities:
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Conduct periodic internal on-site reviews and audits to ensure that financial and compliance procedures are followed, and to ensure that the reviews are seen as recurring obligations supported by Regional Management and Local Office Management.
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Conduct or direct the initial triage and internal investigation of compliance or financial issues as needed, with due regard for needed reporting to Legal or Finance.
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Provide assistance to external auditors and legal teams in compliance reviews.
Compliance Responsibilities:
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Provide day-to-day regional support for compliance-related questions, and discuss emerging compliance issues with management or employees, with particular sensitivity to regional environmental changes or trends, such as enforcement campaigns, local law changes, and other potential changes in the risk picture.
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Develop and implement in-person, webinar and online compliance training initiatives. Support other compliance communication, promotion and awareness initiatives to increase employee awareness and education on key compliance risks, policies and procedures. Maintain a current data base of employee attendance and completion of compliance requirements.
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Review and support third party due diligence efforts to ensure that third party business partners are appropriately reviewed and vetted in relation to their risk profile, prior to their engagement, and that appropriate documentation exists regarding the purposes and terms of their engagement and the expected deliverables.
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Assist in compliance program development, including implementation of regional compliance risk assessment processes as well as design and implementation of compliance policies and initiatives.
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Review and support implementation of gift and hospitality policies, including pre-event approval, proper documentation and recordkeeping re gifts, vetting of recipients, and cash controls.
Competitive salary & excellent benefits
Posted June 12, 2015 at 05:21AM from LinkedIn http://ift.tt/1f6t9pb
