1530 jobs - 32 added today
173986 registered Jobseekers
Recruiting? Call us on
Posted 13 days ago
Apply
Location:
Salary:
£70000 - £85000 per annum, Benefits: Company Pensi
Job type:
Permanent
Job sector:
Private Practice
Sector:
Regulatory, Compliance, Risk
Experience:
PQE 10+
Contact:
Mark Chambers
Category:
I am working with a large, London based, corporate and fund service business looking to bring on board an experienced Compliance expert from a financial/professional services background. The purpose of the role is to provide corporate trust and agency services and SPV administration support.

Main Responsibilities:

Some of your duties will include:
-Acting as the registered Compliance Officer and Money Laundering Reporting Officer
-Ensuring the company's compliance with relevant laws, regulations and adherence to company policies and procedures
-Maintaining the local Business Risk Assessment
-Develop and manage the Compliance Monitoring Plan
-Maintain the Risk and Compliance registers
-Monitor the local Regulator and other Competent Authorities to identify potential changes to legislation or other regulatory requirements
-Assist the MD to liaise with the Regulator and ensure that all interactions are properly documented and retained
-In conjunction with the MD maintain the local Regulatory Mapping Gap Analyses and consider and deal with the impact on Policy and Procedures of any relevant new and/or amended regulations, laws, orders, codes and guidelines
-Play an active role in the review, development and maintenance of the Company's policies, procedures and compliance manuals
-Sign off the adequacy of CDD accompanying new business documentation to include the maintenance of appropriate Compliance records
-Collate information and assist with the preparation of reports to provide key information to both the board and Group Risk and Compliance on a monthly basis
-Deliver Compliance training to the UK business including Induction, client take-on and and Anti-Financial Crime training as required
-Carry out any relevant function/activity required by the Regional Head of Risk and Compliance or Directors from time to time
-Assist with coaching, training, motivating and monitoring the Compliance team, to include assisting in appraisal meetings and in interviewing for new employees where appropriate

Knowledge, Skills and Experience

-At least 10 years financial services experience in a financial institution or banking environment to include time spent in a management role
-At least 5 years direct Compliance experience

This is a super opportunity to join a large, global provider of fund services so please get in touch asap regarding this London based, Associate Director - Compliance role to avoid missing out.
I am working with a large, London based, corporate and fund service business looking to bring on board an experienced Compliance expert from a financial/professional services background. The purpose of the role is to provide corporate trust and agency services and SPV administration support.

Main Responsibilities:

Some of your duties will include:
-Acting as the registered Compliance Officer and Money Laundering Reporting Officer
-Ensuring the company's compliance with relevant laws, regulations and adherence to company policies and procedures
-Maintaining the local Business Risk Assessment
-Develop and manage the Compliance Monitoring Plan
-Maintain the Risk and Compliance registers
-Monitor the local Regulator and other Competent Authorities to identify potential changes to legislation or other regulatory requirements
-Assist the MD to liaise with the Regulator and ensure that all interactions are properly documented and retained
-In conjunction with the MD maintain the local Regulatory Mapping Gap Analyses and consider and deal with the impact on Policy and Procedures of any relevant new and/or amended regulations, laws, orders, codes and guidelines
-Play an active role in the review, development and maintenance of the Company's policies, procedures and compliance manuals
-Sign off the adequacy of CDD accompanying new business documentation to include the maintenance of appropriate Compliance records
-Collate information and assist with the preparation of reports to provide key information to both the board and Group Risk and Compliance on a monthly basis
-Deliver Compliance training to the UK business including Induction, client take-on and and Anti-Financial Crime training as required
-Carry out any relevant function/activity required by the Regional Head of Risk and Compliance or Directors from time to time
-Assist with coaching, training, motivating and monitoring the Compliance team, to include assisting in appraisal meetings and in interviewing for new employees where appropriate

Knowledge, Skills and Experience

-At least 10 years financial services experience in a financial institution or banking environment to include time spent in a management role
-At least 5 years direct Compliance experience

This is a super opportunity to join a large, global provider of fund services so please get in touch asap regarding this London based, Associate Director - Compliance role to avoid missing out.
Select how you want to share: