Compliance Analyst role at Leve Saúde ensuring adherence to regulations in the health sector. Responsibilities include audits, policy management, and due diligence processes.
About the role
- Compliance Manager responsible for implementing Sustainalytics’ Compliance Program and reporting on EU regulatory adherence. Collaborating with global compliance teams and providing ongoing assurance of company policies and procedures.
Responsibilities
- Manage the preparation for, and conduct of, regulatory examinations
- Draft any compliance reports required by European regulatory authorities
- Report on existing and emerging compliance issues and risks to the CCO
- Foster, and maintain, a good working relationship with ESMA, compliance colleagues, members of other internal control functions and business management
- Support the CCO to implement compliance component on development of new business processes, and on changes to current business processes arising from changes to European regulations
- Assist the CCO in overseeing compliance program to ensure alignment with European regulatory frameworks and provide ongoing assurance of adherence to Sustainalytics’ policies and procedures
- Provide advice and guidance to management on matters relating to conduct and compliance, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews
- Enhance standard procedures for the intake (including for anonymous reporting and complaints from third parties), investigation, escalation and reporting of potential compliance related incidents relating to Sustainalytics to ensure that they are appropriately and consistently evaluated, investigated and resolved
- Maintain records of any violation reports received, including details of any actions taken
- Contribute to ongoing development of Compliance team by sharing best practices, knowledge, expertise and lessons learned on a regular basis
- Assist with the development, maintenance and delivery of compliance materials and training
- Assist with the continuous improvement of global compliance programs
- Maintain compliance files and records
- Implement and maintain policies and procedures for the general operation of the global compliance program within Sustainalytics.
Requirements
- Significant experience (around 6 years or more) in compliance / regulatory control processes developed in Internal Audit in the Financial Services, Accounting or Legal professions
- Experience interacting with and responding to regulatory inquiries, ideally with EU regulatory bodies
- Experience in designing and implementing compliance / regulatory policies and procedures
- Experience managing compliance teams
- Advanced communication skills (verbal and written) to report regulatory compliance information
- Strong analytical and investigative skills and sound judgment
- Understanding/experience of ESG risk rating business would be an advantage
- A degree, especially in law or similar discipline is a plus
Benefits
- hybrid work environment
- opportunity to collaborate in-person
- range of other benefits available to enhance flexibility as needs change
- tools and resources to engage meaningfully with global colleagues
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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