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Integrity And Ethics In Senior Compliance

711 Words3 Pages

• Integrity and Ethics
Integrity and ethics are fundamental to the compliance function and the Senior Compliance Manager must demonstrate strong affinity for each especially if they are to influence the business in developing a culture of integrity ethical behavior and compliance which results in building trusting relationships with customers, regulators and other stakeholders.
• Ability to Prioritize and Multi Task
The role requires that different activities may draw on the attention of the Senior Compliance Manager on a daily basis including regular daily, weekly or monthly activities or those that arise along with unanticipated issues. It is necessary for the Senior Compliance Officer to effectively manage time and resources ensuring that …show more content…

They Assistant should be able to detect when something has gone wrong and use analytical and investigative skills to determine exactly what has happened.
• Good Communications Skills
Like the Senior Compliance Manager it is necessary that the Compliance Assistant have a certain level of communication skills. While it will be the primary responsibility of the Manager to communicate with senior management, the Board and regulators, the Compliance assistant will more regularly communicate with staff in and out of the compliance unit concerning daily activities and also contact business units ensuring that the appropriate data for compliance reports are received.
The Assistant will also be required to provide training and advice to staff.
• Excellent Organizational Skills
The Compliance Assistant will be tasked with the day to day running of administrative matters in the unit along with assisting in reporting and assessment requirements. Thus it is necessary that the person is organized and able to manage a full workload including assisting with the upcoming

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