Company Operations Compliance Manager

ABOUT PENTA CONSULTING LTD

JOB PURPOSE: The Company Operations Compliance Manager is responsible for ensuring that Penta operates within legal and regulatory requirements and adheres to internal policies and procedures across all of our Penta entities. They oversee the development, implementation, and maintenance of compliance programs to mitigate risk and promote ethical behaviour. The Company Operations Compliance Manager acts as a liaison between various departments, regulatory bodies, and external stakeholders to ensure compliance with relevant international and domestic laws and industry standards.

Responsibilities may include vendor relationship management, collaboration on contract negotiation, implementing operational business processes, quality assurance, and ensuring alignment with the organisation's goals and standards.

KEY STAKEHOLDERS: Executive management team, legal, operations, auditors, external clients and contracts team.

DUTIES AND RESPONSIBILITIES:

• Support with the Group International Office compliance and reporting, ensuring operational compliance in respect of all client requirements across Penta entities.
• Build a team dedicated internally to manage the continued company growth.
• Map and document our operations, procedures, and processes while establishing robust monitoring mechanisms.
• Develop and implement compliance policies, procedures, and controls to ensure adherence to applicable international and domestic laws and regulations.
• Responsible for implementing and maintaining the Company’s international and domestic Know Your Customer policy (KYC); Compliance procedures; Compliance Monitoring Programme; Business Continuity Plan; and Financial Crime Manual.
• Own and lead on all aspects of company regulatory compliance, present compliance audit reports to board ensuring that internal standards and regulatory requirements are upheld.
• Conduct regular compliance audits and assessments to identify areas of non-compliance and develop corrective action plans.
• Lead new partner onboarding from start to finish (including liaising with legal and commercial regarding contract reviews, due diligence completion and onboarding investigations).
• Maintain and grow Penta’s international and domestic partner network.
• Identify and assess potential compliance risks across the organization, develop strategies to mitigate risks and implement controls.
• Provide guidance and training to employees on compliance-related matters.
• Monitor changes in International and domestic laws and regulations affecting the organisation and update compliance programs accordingly.
• Coordinate with internal departments to ensure compliance with international and domestic industry standards and best practices.
• Serve as the primary point of contact for regulatory agencies and external auditors during audits and investigations.
• Investigate and resolve compliance issues, complaints, and violations in a timely and effective manner.
• Prepare and submit regulatory reports and filings as required.
• Collaborate with commercial and legal counsel to address legal and regulatory matters affecting the organisation.
• Collaborate with Sales Team to ensure best practices are implemented adhere to internally.
• Collaborate with Compliance Team to ensure best practices and implemented and resource solutions are compliant against court requirements.
• Stay abreast of emerging compliance trends and developments to proactively address potential risks.
• Ensure any special provisions are verified and compliant and raise any risks associated with various entities to the Managing Director.
• Liaise with external consultants regarding any legal, regulatory compliance.
• Other duties / objectives as may be assigned from time to time by the Managing Director.
• Implementation of processes and tools to enhance productivity and efficiencies in departments.

EXPERIENCE / QUALIFICATIONS:

• Extensive experience of working in a compliance or commercial department on an international level.
• Extensive experience of working with International Sales Teams.
• Excellent computer skills including Word / Excel / PowerPoint.
• Proven experience in compliance management, preferably in a regulated industry.
• Knowledge of relevant laws, regulations, and industry standards across EMEA (e.g. GDPR/ISO/ESG).
• Analytical skills with the ability to interpret complex regulatory requirements and assess their impact.
• Excellent communication and interpersonal skills with the ability to effectively communicate compliance requirements to employees at all levels, across different entities.
• Sound judgment and decision-making skills with the ability to prioritise tasks and manage multiple deadlines.
• High level of integrity and ethical conduct, with a commitment to upholding ethical standards and promoting a culture of compliance within the organisation.

PERSONAL QUALITIES:

• Integrity – demonstrates honesty and ethical conduct in all actions.
• Attention to detail – pays meticulous attention to detail when interpreting regulations and implementing compliance measures.
• Adaptability – adapts quickly to changes in laws, regulations and organisational priorities.
• Leadership – inspires trust and confidence in others and leads by example in promoting a culture of compliance across all entities.
• Problem-Solving – identifies compliance issues and develops practical solutions to address them effectively.
• Communication – articulates complex compliance concepts clearly and effectively to diverse audiences.
• Collaboration – works collaboratively with cross-functional teams to achieve compliance goals and objectives.
• Accountability – takes ownership of compliance-related tasks to achieve compliance-related tasks and responsibilities and follows through to ensure completion.

Due to the nature of the role this is a full-time office-based role.