• Compliance Advisory: providing advice and guidance to the business on regulatory requirements, new initiatives, products, services and client-related matters
• Compliance Monitoring & Assurance: assessing whether the firm’s policies, processes and controls are operating effectively and identifying areas where improvements may be required
• Regulatory Change: supporting the Legal function in monitoring developments in the regulatory environment, assessing their impact on the firm and supporting the implementation of required changes
• Conduct & Client Outcomes: supporting the firm in maintaining high standards of conduct and ensuring the interests of clients and the delivery of good client outcomes remain central to decision-making
• Policies and Governance: maintaining the firm’s compliance framework, policies and procedures and providing relevant reporting and management information to senior management and governance committees
• Regulatory Engagement: supporting the firm’s relationship and interactions with regulators, including regulatory notifications, information requests and reporting obligations
• Training & Culture: helping colleagues across the firm understand their regulatory responsibilities and promoting a strong culture of compliance, integrity and individual accountability.
• Business & Strategic Change: providing compliance input into projects and strategic initiatives to ensure regulatory consideration s are identified and addressed at an early stage.