Compliance Manager

Compliance Manager, Wholesale Division

Wholesale Compliance

ComReg monitors the effectiveness of competition in various retail and wholesale electronic communications markets. The Wholesale Division within ComReg works to progress competition in these markets. Specifically, it analyses markets and introduces market regulation with a view to improving levels of competition and reducing barriers to entry.

Within the Wholesale Division, Wholesale Compliance has responsibility for ensuring that market regulation is being complied with. Investigations and monitoring activities are supported by enforcement. ComReg’s compliance and enforcement strategy is aimed at ensuring that regulated entities:

• are at all times fully cognisant of their obligations and comply with them;
• are deterred from contravening their obligations;
• have an institutionalised culture of compliance.

Wholesale Compliance will investigate when regulated entities and/or individuals fall short of those expected standards of behaviour. Where appropriate, Wholesale Compliance will take enforcement action including civil or criminal prosecutions.

Wholesale Compliance is comprised of several Compliance analysts each leading a multi-disciplinary project team. Investigations routinely undertake data gathering, data mining; on-site inspections and investigative interviewing. The successful candidate will manage a small number of Compliance analysts, and as a result, will have responsibility for a program of compliance investigations across a diverse range of regulated entities and markets.  An overview of key responsibilities of the role is given below.

The Role

Reporting to the Head of Wholesale Compliance, the successful candidate will be responsible for the following areas and tasks:

• Investigate compliance with regulations, primarily through data requests, investigation meetings and on-site inspections and data retrieval.
• Provide detailed, reports on the outcomes of compliance investigations to inform enforcement decision making.
• Manage a small team of Compliance analysts, providing guidance and support.
• Manage a program of compliance investigations and enforcement litigation for the Wholesale division.
• Contribute to the design of operational processes, monitor activities and detect non-compliance and to deliver efficient and effective compliance investigations and enforcement actions.
• Manage external consultants to deliver projects.
• Contribute to organisation-level compliance/regulatory policy issues, primarily by participating in cross-Divisional meetings.

Qualifications and Experience

Essential experience/knowledge

• A degree in a telecommunications related area or similar (Law/Engineering/Economics/Accounting).
• Excellent qualitative and quantitative analytical skills, coupled with the ability to make reasoned judgements based on available information.
• Ability to draft documentation in a rational, evidence-based, clear and concise manner.
• A proven track record in leading people and managing the delivery of complex projects, working in both an individual and team environment.
• Confident and articulate with proven ability to communicate courteously and professionally.

Desirable experience/knowledge

• Proven knowledge of products, services and technology in regulated electronic communications markets.
• Proven extensive experience in an investigative or enforcement role, in a sector-specific regulator or governmental organisation.
• Experience in enforcement litigation for a sector-specific regulator or governmental organisation.
• Familiarity with the national/EU legal framework under which ComReg operates.
• Experience of Corporate Governance and/or Risk based compliance monitoring.
• Willing to independently diversify knowledge base to appreciate the legal/technical aspects of economic regulation.
• Project Management qualification.

Core Competencies & Skills for the Role

In addition to your technical qualifications and experience, you will bring professional competencies and skills in the following core areas:

• Analytical and Critical Thinking: Supports others to identify relevant information to effectively solve problems Considers new approaches and applies original thinking. Identifies critical connections and patterns in detail. Anticipates issues that are not readily apparent and prepares responses.
• Drafting: Provides final review of documents with regard to relevant legislation. Writes accurately on complex areas in a convincing manner that is easily accessible to others. Improves others drafting skills and enables learning through review and feedback.
• Planning & Organising: Establishes and monitors priorities, systematically differentiating between urgent, important and unimportant. Manages activities to deliver results. Meets objectives within predetermined time frames.
• Communication and Influencing: Communicates clearly, confidently and respectfully. Engages, persuades and convinces others to follow a particular course of action. Ensures all relevant parties are appropriately updated and notified.
• Teamwork: Involves and values the contribution of others with constructive feedback. Leads multi-disciplinary teams and effectively manages upwards. Anticipates and manages project risks with minimal instruction.
• Decision Making & Judgement: Effectively builds evidence base to support the decision-making process. Assesses alternative options. Uses judgement to adapt to specific and challenging requirements of the organisation.

If you meet the criteria and are interested in applying, we would love to hear from you.