(3) Compliance Officers Required in Uruguay

Serial No: 123257
Location: Departamento de Tacuarembó, Uruguay - View on map

Skills Provision is searching for 3 Compliance Officers in Uruguay, South America.

The employing company is a leading and prestigious firm with diversified activities in financial and investments services. They have earned a professional reputation over the years due to their expansion and growth.

Salary and Benefits

  • Salary to be negotiated
  • Comprehensive benefits package

 

The Role

  • Develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.
  • Develop and periodically review and update Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
  • Collaborate with other departments (e.g., Risk Management, Internal Audit, Employee Services, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
  • Consult with the Corporate attorney as needed to resolve difficult legal compliance issues.
  • Respond to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develop and oversee a system for uniform handling of such violations.
  • Act as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
  • Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
  • Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future.
  • Provide reports on a regular basis, and as directed or requested, to keep the Corporate Compliance Committee of the Board and senior management informed of the operation and progress of compliance efforts.
  • Work with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.

 

Requirements

  • Education: A Bachelor’s degree required; Master’s desired.
  • Experience: A minimum of 5 years experience in a Financial Services organization, including demonstrated leadership. Familiarity with operational, financial, quality assurance and human resource procedures and regulations is a must.

 

Skills Provision is an ethical international recruitment agency, as such our adverts do not discriminate with regards to age, race, gender, colour, creed, religion, sexual orientation, disability and nationality.