15 JOBS FOUND
email - as they go live.
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.
- The position will provide provision of cover for the role of the FCA registered Compliance Officer and MLRO roles.
- Provision of Compliance input to the Senior Managers and Certification Regime (SMCR)
- Provision of support to the R&C team on regulatory matters relating to the other regulated entities it supports as needed.
Key Responsibilities
The key responsibilities of the role include, but are not limited to:
- provision of compliance support to ECD on all regulatory matters including: new business initiatives; regulatory analysis of relevant legislation, rules and guidance; and liaison with, including the making of any relevant notifications to, the FCA;
- oversight of ECD’s compliance with the FCA’s rules on systems and controls against money laundering and the provision of an annual MLRO report to ECD’s Governing Body;
- establishment of a suitable monitoring programme, oversight of its delivery and liaison with the relevant parties to ensure that any remedial actions identified are completed in accordance with agreed timescales;
- review and sign-off of any onboarding applications and provision of appropriate challenge to the business, where necessary;
- monitoring completion and timely submission of routine reports to the FCA;
- provision of support to ECD in operationalising its Brexit transition plans (should the UK leave the EU on 31 October as anticipated)
Key Behaviours
- Communication
- Motivation & Flexibility
- Stakeholder Management
- Analysis
- Teamwork
Key Skills
- Degree level education or equivalent.
- Experience of working within the financial services industry – 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.
Key Responsibilities
The key responsibilities of the role include, but are not limited to:
- provision of compliance support to ECD on all regulatory matters including: new business initiatives; regulatory analysis of relevant legislation, rules and guidance; and liaison with, including the making of any relevant notifications to, the FCA;
- oversight of ECD’s compliance with the FCA’s rules on systems and controls against money laundering and the provision of an annual MLRO report to ECD’s Governing Body;
- establishment of a suitable monitoring programme, oversight of its delivery and liaison with the relevant parties to ensure that any remedial actions identified are completed in accordance with agreed timescales;
- review and sign-off of any onboarding applications and provision of appropriate challenge to the business, where necessary;
- monitoring completion and timely submission of routine reports to the FCA;
- provision of support to ECD in operationalising its Brexit transition plans (should the UK leave the EU on 31 October as anticipated)
Key Behaviours
- Communication
- Motivation & Flexibility
- Stakeholder Management
- Analysis
- Teamwork
Key Skills
- Degree level education or equivalent.
- Experience of working within the financial services industry – 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.
Key Responsibilities
The key responsibilities of the role include, but are not limited to:
- provision of compliance support to ECD on all regulatory matters including: new business initiatives; regulatory analysis of relevant legislation, rules and guidance; and liaison with, including the making of any relevant notifications to, the FCA;
- oversight of ECD’s compliance with the FCA’s rules on systems and controls against money laundering and the provision of an annual MLRO report to ECD’s Governing Body;
- establishment of a suitable monitoring programme, oversight of its delivery and liaison with the relevant parties to ensure that any remedial actions identified are completed in accordance with agreed timescales;
- review and sign-off of any onboarding applications and provision of appropriate challenge to the business, where necessary;
- monitoring completion and timely submission of routine reports to the FCA;
- provision of support to ECD in operationalising its Brexit transition plans (should the UK leave the EU on 31 October as anticipated)
Key Behaviours
- Communication
- Motivation & Flexibility
- Stakeholder Management
- Analysis
- Teamwork
Key Skills
- Degree level education or equivalent.
- Experience of working within the financial services industry – 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.
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, advice and challenge around estate agency specific transactions, in particular where they involve joint agents, sub agents, intermediaries and partners.
- 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.
The key responsibilities of R&C include, but are not limited to:
· Provision of Compliance Advisory support to ensure it operates in accordance with the Financial Conduct Authority (FCA)
· liaison with the FCA
· maintenance of, provision of guidance on, and disciplinary procedures in respect of transgressions
· Review and approval of applications for membership.
Role Profile
The successful candidate will provide compliance support to the derivative segment of the business.
There will also be scope to provide compliance support to the derivatives business of other areas within the business.
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
- Degree level education or equivalent.
- 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.
In particular:
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McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.
Job Duties
- The Compliance Manager will work as part of the Compliance monitoring team undertaking monitoring functions, management information reporting and some advisory support.
Skills Required
- Contribute to the creation, implementation and delivery of a comprehensive risk based Compliance Monitoring Programme (CMP). The CMP covers all FCA/PRA regulated firms within and aims to reflect all relevant regulatory requirements impacting these businesses.
- Identify regulatory issues and risks while carrying out effective surveillance and monitoring reviews within the deadlines set. Ensure mitigating actions assigned within the reviews are completed within the agreed timescales.
- Maintain detailed knowledge of relevant rules and legislation to aid in the interaction with business areas as part of the CMP and within Compliance projects.
- Produce clear and to-the-point management information for various groups, committees and team meetings.
- Take responsibility for allocated compliance projects, and represent the Compliance team in business meetings.
- Assist in the delivery of an efficient regulatory risk framework feeding into a risk-based CMP. Ensure that identified risks are recorded, analysed and taken into account in the delivery of surveillance, monitoring reviews and projects.
- Engage with other Compliance and Risk team members and engage in cross training, exchange of information and collaboration.
McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.
