Compliance Officer
Willis
Caracas, Distrito Federal
hace 5 días

The purpose of this role is to assist the business in the management of the Compliance Policies and Regulatory risks in Venezuela.

The Compliance Officer must ensure that all the regulatory requirements (Local and Global) are identified and addressed, that monitoring program is undertaken, and training and guidance are provided as necessary.

  • A very important part of the role is to monitor the organization’s standards of conduct and ethical relationships with customers, contractors, suppliers, colleagues, and the communities in which business is conducted;
  • and develop safeguards to prevent breaches of the organization’s policies.

  • Assist the business with consistent and reliable advice on a broad range of regulatory matters and explain the impact of any changes.
  • Assist with the Identification, assessment, and management of compliance risks applicable to the business.
  • Provide support and guidance to the business in understanding its responsibilities and obligations under relevant policies (e.
  • g. Anti-Bribery & Corruption, Conflicts of interest, Financial Crime, Gifts & Entertainment, KYC, Complaints, Sanctions, Third Party Payments,);
  • respond to queries on the interpretation of relevant compliance policies.

  • Compare and analyze self-assessments and other MI produced by the Businesses, discussing findings with the Regional Compliance Director as a means of determining any potential systemic risks, or weaknesses in internal controls and training.
  • Support the business reviewing and challenging the design and structuring of new products and services to ensure that they meet legal and regulatory requirements, internal compliance policies and standards.
  • Monitoring

  • Carry out monitoring reviews in accordance with a Monitoring Plan defined by Compliance Latin America and International, which may include on-
  • site visits and will involve the review of management information provided by the Businesses.

  • Develop corrective action plans and track implementation status. Identify and communicate additional actions required by senior management where persistent issues are noted within the country.
  • Ensure that any matters which arise from internal or external reviews or monitoring visits are followed up and the actions tracked and resolved appropriately.
  • Regulatory matters.

  • Understand the local regulatory environment.
  • Identify all applicable regulations and ensure procedures are in place to meet those.
  • Develop and maintain the Regulatory Risk Assessment which sets forth applicable laws and regulations including licensing requirements and permissible and prohibited activities;
  • indicating how Willis Towers Watson ensures compliance with each requirement.

  • Monitor regulatory developments and report any new or proposed regulation or legislation that may impact Willis Towers Watson to management and Regional
  • Compliance Director.

  • Discuss promptly with management and Regional Compliance Director any problems or concerns of a regulatory or compliance nature and agree the corrective action to be taken including responsibility, timelines, and review date.
  • Implement an action plan to comply with GDPR.
  • Compliance training

  • All the applicable compliance policies and local regulations should be covered in compliance induction training.
  • Identify compliance training needs and support the development of the training plan for the year, support the delivery of specific training materials for the underwriting platforms where appropriate.
  • Report outcomes

  • Discuss promptly with the Regional Compliance Director any compliance or regulatory issues arising in the platform; agree the appropriate action and record the issue in the appropriate log / database;
  • and agree the corrective action to be taken including responsibility, timelines and review date.

  • Support and maintain the risk registers for the Businesses. Be the first point of contact for KYC and sanctions queries arising from the Businesses.
  • Provide regular updates on relevant compliance metrics as well as on external and internal governance and oversight requirements.
  • Comprehensive knowledge of Sanctions, KYC, GDPR, and policy documentation is critical.
  • Appreciation of the risk management.
  • Speak / write English language
  • Excel knowledge
  • Willis Towers Watson is a leading global advisory, broking and solutions company that helps clients around the world turn risk into a path for growth.

    With roots dating to 1828, Willis Towers Watson has 40,000 employees serving more than 140 countries. We design and deliver solutions that manage risk, optimize benefits, cultivate talent, and expand the power of capital to protect and strengthen institutions and individuals.

    Our unique perspective allows us to see the critical intersections between talent, assets and ideas the dynamic formula that drives business performance.

    Together, we unlock potential. Learn more at willistowerswatson.com.

    Willis Towers Watson believes that effectively managing a diverse workforce is vital to our business strategy. We have an obligation to our organization, ourselves and our clients to hire and develop the best people we can find.

    We will continually review our policies and practices to ensure that all areas of the employment process (including recruiting, hiring, work assignments, compensation, benefits, promotions, transfers, company-

    sponsored development programs and overall workplace experience) are free from discriminatory practices. We are committed to equal employment opportunities at Willis Towers Watson.

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