Compliance Manager

  • Rate:£50,000-£60,000 per annum Bonus and bens
  • Location:London West End
  • Term: Contract
  • Posted:24 May 2017
  • Tiger Job ID:DMCOMPLIANCEM

I am working with an amazing financial services client based in the West End who are looking for a Compliance Manager to take on a 14 month contract - details below:

Compliance & AML Monitoring; Undertake daily, periodic and third party oversight with support of Compliance Assistant

Assist in the review, development and implementation of a risk-based compliance/financial crime/CASS monitoring programme including specifically Best Execution, Fair Allocation and Market Abuse; reviews utilising Bloomberg AIM, Bloomberg BTCA and other related monitoring tools;

Ensure findings following testing of the compliance monitoring programme are documented and followed-up in a timely manner;

Identify and monitor risks that the company faces and suggest ways to mitigate these risks including Conflicts of Interest;

Assist in enhancing current compliance monitoring statistics (MI) as both a management tool and as a mechanism to identify potential increases / decreases in the risks the company faces (amending the compliance monitoring programme where necessary);

Reporting  - Provide data and written reports for inclusion in Board Reports; and specific Management Committees specifically the company’s Broker and Operations Committees instituted from time to time and any related FATCA/CDOT/CRS components to HMRC in compliance with IGA1 requirements;

Perform general compliance tasks as well as involvement in ad hoc compliance projects and related Policy work;, such tasks may incorporate a modest degree of travel to assist with oversight and monitoring obligations. To train other staff and to understand local operating practice in the context of the wider operating requirements of the Group’s AM Division;

Be aware of and understand the rules and regulations relevant to your position in the context of the Compliance function as the Firm’s second line of defence;

Be aware of and consider the impact on the six Treating Customers Fairly outcomes in respect of all activities undertaken;


 

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