Roles and responsibilities

Key responsibilities will include but not be restricted to the following:

• Support the Head of Financial Security Compliance in providing guidance, advice and challenge to the Business.
• Providing guidance and advice to the Business in relation to all relevant rules and regulations, including but not limited to the UK Money Laundering Regulations, HMRC Guidance, RICS rules and regulations and the Estate Agency Act of 1979.
• Ensuring the accurate completion of:
  • Customer KYC files/Due Diligence documents, as input/produced by the Business into the KYC tool or manual files in accordance with regulatory and group requirements.
• Oversee and monitor the Financial Security Team’s management and output of all ad-hoc inquiries.
• Manage, assess and assign within the Financial Security team all Transaction and Customer screening alerts, including when required the drafting of SARs.

Desired Experience:

• Previous experience of KYC/client on-boarding in the Real Estate and Financial Services sectors is essential
• Proven track record of working in Financial Security/KYC/AML/Sanctions is essential;
• Proven track record of acting as an SME for Financial Security/KYC/AML/Sanctions matters within the Real Estate and Financial Services sectors;
• A proven track record of managing transaction and client screening “hits”.
• A proven track record of assessing and writing and compiling SARs.
• A strong knowledge of AML/CTF/Sanctions UK rules and regulations relating to the Real Estate and Financial Services sectors

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Key Responsibilities

• Provision of compliance advisory and support services, working closely with senior business personnel to ensure regulatory considerations are considered at an early stage of any new initiative
• Assisting the business in understanding measures arising from new regulations to ensure effective response and implementation.
• Close stakeholders liason
• Compliance risk management and monitoring
• Liaison with the FCA

Key Skills

• Good knowledge of MiFid regulations
• Experience within Derivatives OR Commodities
• Relevant experience within the financial services industry, in particular the derivatives markets. Trading venue experience would be preferable but is not essential.
• Proficient in use of MS Office, specifically Outlook, Word, Excel and PowerPoint.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Compliance Monitoring Officer

The Role
Compliance Assurance and Monitoring provides the firm with a key independent second line control check and challenge over the implementation and application of the regulations and controls that apply to a firm. This role is responsible for working with the Head of Monitoring and Surveillance to develop and deliver an appropriate risk - based monitoring program consisting of appropriate thematic reviews designed to test the efficacy of front-line controls in respect of regulations applicable to the business. This is to ensure that controls in place and are sufficient to ensure that the firm meets its regulatory obligations.

Responsibilities

• Carry out risk-based thematic desk reviews across the firm’s business units.
• Focus on the key compliance risks and take a proportionate approach to scoping tests and completing testing efficiently to make the best use of available resources.
• Coordinate the investigation and escalation of potential issues and documenting appropriate remedial Actions. Manage closure verification of Actions following completion, including the assessment of evidence to support closure.
• Oversee and support reviews completed by other team members.
• Prepare aspects of Compliance Assurance management information
• Help enhance the Compliance Assurance programme as it evolves, liaising with the Compliance team and relevant global teams and contributing to global discussions on testing matters and sharing best practice.
• Carry out ad-hoc spot check reviews as and when required.

Skills & Qualifications

• Experience in developing, documenting and executing monitoring and assurance programs.
• Excellent presentation skills - ability to communicate clearly and concisely both verbally and in writing.
• Previous experience of derivative, commodity and FX brokerage businesses, whether though Compliance experience or working within the business or other controls functions.
• Ability to identify the key compliance risks in the area subject to testing and to think creatively about how these risks might manifest in practice and how a test could seek to identify this.
• Good analytical and numerical skills, able to learn new concepts (for example reviewing trading data, looking for trends and exceptions).
• Good interpersonal skills and the ability to build relationships with members of the Compliance Department and employees in the business units and control functions subject to testing
• Proven skills in challenging information received and ability to manage findings with the frontline businesses.
• Broad understanding of the FCA Handbooks and the approach of regulators in EMEA, US and globally, with particular focus on UK regulators.
• Attention to detail and proactive. Confidence to use own initiative and apply judgment in an in-house context.
• Ability to manage delivery of a portfolio of tests and work programmes with emphasis on a strong sense of audit trails to evidence the reviews completed from start to finish with all supporting substantiating evidence captured.
• Ability to be effective under pressure.
• Enthusiasm and aspiration to learn and develop.
• Previous experience with dealing with regulators and/or Auditors desirable
• Previous Front Office experience (trader, sales) is desirable

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.