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Compliance

GA Global has specialised in the recruitment of Compliance professionals since 2006. Compliance, be it regulatory, or with regards to internal policies and procedures, has taken centre stage in light of the economic troubles and unforeseen scandals that have been encountered by organisations in recent years.

GA Global Consulting’s Compliance Division is comprised of industry specific Consultants, possessing: in depth market expertise, knowledge and understanding; a comprehensive highly prestigious client network and proven track records in recruiting Compliance professionals of outstanding quality, on both a contract and permanent basis.

compliance Handbooks Financial Crime Sarbanes Oxley TCF RDR

Our areas of focus within Compliance include the following:

Handbooks

FCA and PRA handbooks recently replaced the previous FSA Handbook and we have access to individuals with expertise and detailed knowledge of the regulations and guidance.

FCA

  • High level standards (PRIN, SYSC, COND, APER, FIT, FINMAR, TC, GEN, FEES)
  • Prudential standards (GENPRU, BIPRU, INSPRU, MIPRU, UPRU, IPRU)
  • Business standards (COBS, ICOBS, MCOB, BCOBS, CASS, MAR)
  • Regulatory processes (SUP, DEPP)
  • Redress (DISP, CONRED, COMP)
  • Specialist sourcebooks (BSOCS, COLL, CREDS, PROF, RCB, REC)
  • Listing, prospectus and disclosure rules (LR, PR, DTR)
  • Regulatory guides (Including guidance on financial promotions)

PRA

This handbook sets out the rules and provisions, as provided by the Prudential Regulation Authority and it includes General Rules (R), Evidential Provisions (E), Guidance (G), Directions and Requirements (D), directly applicable UK legislative material (UK), EU legislative material (EU) and Statements of Principle for approved persons (P)

Typical positions placed:

  • MLRO
  • Deputy MLRO
  • Director of Compliance
  • Head of Compliance
  • Compliance Manager
  • Compliance Policy Manager
  • Compliance Strategy
  • Compliance Advisory
  • Compliance Consultant
  • Compliance Officer
  • Compliance Analyst
  • Compliance Administrator

 

Compliance Monitoring

Providing assurance and visibility that organisations are meeting their business and regulatory requirements, including FSA guidelines, data protection and policies & procedures, the compliance monitoring professionals that we place would typically perform the following:

  • Development and agreement of a compliance monitoring plan
  • Building a compliance monitoring framework
  • Understanding and using the agreed methodology
  • Consistent use of relevant checklists and templates across the function
  • Identification of relevant tools for data capture
  • Reporting and escalation
  • Report writing, including the listing of mitigating actions where necessary
  • Follow up and tracking of resultant actions

Typical positions placed:

  • Director of Compliance Monitoring
  • Head of Compliance Monitoring
  • Compliance Monitoring Manager
  • Compliance & Enforcement Lead
  • Compliance Monitoring Strategy
  • Compliance Monitoring Consultant
  • Compliance Monitoring Officer
  • Compliance Monitoring Analyst
  • Compliance Monitoring Assistant

 

Financial Crime

With ever increasing demands being placed on organisations to combat financial crime, from both a legal perspective and via the relevant regulatory authorities, it is now more essential than ever for organisations to ensure that they have stringent provisions in place for the avoidance of such activity within their organisation.

Our extensive network of professionals covers the following areas of expertise:

  • FCPA
  • ABC
  • Fraud
  • Financial sanctions
  • Antii-money laundering
  • Anti-bribery
  • Anti-corruption
  • Regulatory Investigations
  • KYC

Typical positions placed:

  • Director of Financial Crime
  • Head of Financial Crime
  • Head of Fraud Investigations
  • Financial Crime Compliance Manager
  • Financial Crime Compliance Officer
  • Financial Crime Compliance Analyst
  • Financial Crime Sanctions
  • Financial Crime, Data Analytics
  • Financial Crime Surveillance Analyst
  • Senior Financial Crime Officer
  • Financial Crime Officer
  • Anti-Bribery & Corruption Director
  • Anti-Bribery & Corruption Programme Lead
  • Anti-Bribery & Corruption SME
  • Anti-Bribery & Corruption Manager
  • Analyst Anti-Bribery & Corruption
  • Director Anti-Money Laundering
  • Head of Anti-Money Laundering
  • Manager Anti-Money Laundering
  • Anti-Money Laundering Officer
  • Head of Sanctions
  • Financial Sanctions Manager

 

Sarbanes Oxley

We are experienced in setting up SOX teams (working on projects from inception to completion across Europe), placing all levels of SOX professionals (Practice and Finance backgrounds); SOX Directors, SOX Project Managers, SOX Work Stream Leaders, SOX Consultants (Experience of documentation, mapping, testing, walk-through, QA and remediation) IT SOX professionals (GCC, AC, EUC and SoD) and providing continuous consultation and flexibility to pre-empt and meet on-going requirements. A strong working knowledge of multi-sector SOX projects allows us to: source from an experienced SOX candidate base (SOX experience from C&I & Financial Services) in the UK, US and Europe), create teams or place individuals with specified SOX and language skill sets across Europe, while providing in-depth consultation to meet on-going project needs.

Typical positions placed:

  • Sarbanes Oxley Director
  • Head of Sarbanes Oxley
  • SOX Manager
  • SOX Assistant Manager
  • SOX Compliance Officer
  • SOX Analyst
  • SOX Accountant
  • SOX Compliance Associate
  • SOX Consultant
  • SOX Documenter
  • SOX Tester
  • SOX QA
  • SOX Remediation
  • Head of IT SOX
  • IT SOX Manager
  • IT SOX Compliance Officer
  • Segregation of Duties Expert
  • IT SOX Consultant
  • IT SOX Documenter
  • IT SOX Tester
  • IT SOX QA
  • IT SOX Remediation
  • Internal Controls Director
  • Internal Controls Manager
  • Internal Controls Consultant
  • Internal Controls Analyst

TCF

Aimed at raising business standards with the consumer in mind, the Treating Customers Fairly principle was put in place to address the issues of trust and transparency, between organisations that offer financial services products and the consumer – the resultant situation being consumers buying products that have been accurately marketed, clearly explained and with an absolute minimal risk of incorrect selling of products. GA Global Consulting has a vast network of professionals with unparalleled expertise in successfully delivering assurance to management and stakeholders, of the organisation’s ability to comply with this principle at the most detailed level.

Typical positions placed:

  • Director of TCF
  • TCF Customer Oversight Manager
  • TCF SME

 

RDR

Similar to the underlying reasoning behind TCF, Retail Distribution Review was designed to address issues of trust and transparency, but with a specific focus on investment and retirement planning. Investment and retirement planning are critical in achieving shorter, or lifetime goals, in addition to being the basis upon which we plan to live our lives once retired and hence the need to be able to make clearly thought out and well informed decisions is paramount. RDR aims to make this possible by arming consumers with information regarding transparent and fair charges, clarity over the services on offer and accurate and friendly advice. GA Global provide professionals who are highly skilled in helping financial services focused organisations in being able to successfully meet compliance with RDR standards and deliver the aims of RDR to the consumer base. 

Typical positions placed:

  • RDR Programme Manager
  • RDR Project Manager
  • RDR Consultant