Our client seeks a Regional Anti-Bribery and Corruption Officer who will be responsible for co-coordinating the assessment of bribery risk and the assurance programs and collating the MI that is presented to the regional Risk and Control Committee, forwarding it to the GBM Designated ABC Officer ('DABCO') for global consolidation.
*Lead the Country ABC Officers ('CABCOs') to implement M&IB's ABC programme within the region, adapting it to meet any extra local legal or regulatory requirements.
*Liaise with the DABCO and other RABCOs to ensure a consistent, global approach to management of bribery risk.
*Support the business (across all divisions which follow M&IB's leadership) in its management of bribery risk.
*Investigate all allegations and suspicious activity thoroughly.
*Report promptly any attempts to bribe or actual incidents of bribery to the Regional Head of Regulatory Risk and Compliance, the M&IB Global Head of Regulatory Risk & Compliance and the M&IB DABCO.
*Report promptly any instance of non-compliance with polices and any gaps identified to the Regional Head of Regulatory Risk and Compliance, the M&IB Global Head of Regulatory Risk & Compliance and the M&IB Designated ABC Officer.
*Work with the DABCO in cases that are likely to require reporting to any or all of:
1.)the UK FSA
2 .)the UK Serious Fraud Office
3.)national regulators within the Americas
*Conduct an Annual Risk Assessment which identifies and assesses the internal and external bribery risks in the region (including external suppliers, advisers, contractors etc).
*Ensure delivery of relevant training and communications to complement the Group Policy Learning material in order to ensure that regional management and other high-risk staff understand what they must do to manage the risk in the region.
*Establish and implement an effective monitoring programme across all risk factors.
Establish a formal MI process to ensure that issues, risks and other relevant information (including any incidents or allegations of bribery/corruption) are reported to the relevant Risk and Control Committees and to the DABCO.
*Ensure that there are appropriate means to record instances or allegations of bribery/corruption.
*FINRA Qualifications (Series 7, 24, 27)
*Related work experience at a regulator or in law enforcement
*Expert understanding of Foreign Corrupt Practices Act, UK Bribery Act
*Understanding of anti-money laundering concepts, regulations and practices
*Understanding of investment banking products and business practices
*Understanding of securities and/or banking regulations
To apply please submit your resume to Info@compliancesearch.com