Compliance Generalist for Investment firm:

THE RESPONSIBILITIES:

• Support the Head of Compliance as and when required on specific activities and projects;

• Produce compliance reports and metris

• Manage all assurnace and monitoring activities

• To build relationships and work with each department on the compliance framework, policies and procedures

• Identifying, assessing and managing compliance risk within the business

• Ensure all compliance principles, policies and procedures are clearly defined and adhered to

• Through regular and appropriate business involvement ensure all compliance work is carried out to the required level of competence

• Build and maintain effective working relationships with the internal stakeholders

• Regularly review and keep up to date with changes in regulatory, legislative and market practices that impact the business;

EXPERIENCE REQUIRED:

• Solid compliance experience within the financial services industry and compliance.

• Proven experience of working in a multi-disciplined team across business units.

• Strong understanding of all regulations that impact the business

• Strong report writing skills. • A good attention to detail, adaptability, a keenness to learn and accurate keyboard skills.

• Ability to build relationships effectively, both in the immediate team and wider business.

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

Scope & deliverables:

• Management of the Compliance Assurance team, including line management, effective management of workload, adherence to planned deadlines and providing deliverables in a timely manner;
• Engaging with executive team members to facilitate the planning of assurance and monitoring activity;
• Engaging with the Compliance Advice team members to ensure an end-to-end compliance service in relation to scheme development;
• Ensuring that first, second and third line assurance functions, and senior technical SMEs are properly briefed on all current and planned assurance activities, and that feedback is shared amongst these functions to ensure learnings are noted by appropriate teams;
• Assurance reporting against industry reporting standards and as directed by Trustee or Executive request.

Experience and technical skills:

• Design and delivery of a Compliance Assurance Risk Universe that supports a risk based approach to the development of the annual assurance plan;
• Design and delivery of a risk based annual Compliance Assurance Plan covering the business areas
• Delivering and keeping up to date a framework to enable annual recertification of ISO 27001 compliance;
• Engagement with the Enterprise Risk team and provision of risk assessments based on existing second line assurance activity and expectations of volumes and outcomes of future activity, to enable the Enterprise Risk team to make an assessment of the assurance available in respect of the principle risks and recommend a strategic assurance framework for the coming year;
• Development and delivery of a risk based holistic annual plan of monitoring and assurance activity, based on the risk framework delivered by the Enterprise Risk team, covering pension and pension tax law, pensions regulatory requirements

Role requirements

The employee will be able to demonstrate the following experience and technical skills:

• Prioritising, directing and completing projects in a timely manner;
• Using initiative and working independently
• A key team player;
• Technical expertise in relation to FCA regulation, occupational defined contribution pension schemes;
• Acknowledged specialist in assurance activity;
• Acknowledged specialist in the design, operation and evidencing of internal controls;
• Excellent verbal, interpersonal and written communication skills

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

Head of Financial Crime (Kent, London and Home based)

The Financial Crime team ensures the Bank operates in accordance with all legal and regulatory requirements and group standards relating to Anti-Money Laundering & Counter Terrorism Financing, Market Abuse, Anti Bribery, Cyber Crime, Criminal Finances and Fraud.

As Head of Financial Crime, you will have oversight of the Financial Crime operation and have ownership & responsibility of Level 1 and Level 2 Financial Crime team accountabilities. Reporting into the Money Laundering Reporting Officer (MLRO) – your specific responsibilities will include;

• Management of the embedding and maintenance of financial crime procedures in line with the business policy
• Ownership of Level 1 & Level 2 Financial Crime risk assessments and management of risks identified
• Oversee Level 1 & Level 2 record keeping for all activities under the remit of AML/KYC remediation
• Collaboration with the training unit to develop an effective Financial Crime training plan, training material and creating a culture of financial crime awareness across the Bank
• Regular engagement with the Money Laundering Reporting Officer including escalation and consultation on specific areas of concern such as operational risk events

Working in Financial Crime is more than identifying and acting upon potential risks to the Bank. As Head of Financial Crime, you will be ensuring our customers are protected from Financial Crime so they can be put on a path to a better everyday life. To be successful in this role, the following skills and experience is required;

• Detailed working knowledge of relevant PRA/FCA regulation
• Strong awareness of the control and regulatory environment within Financial Services sector
• Ability to use your initiative and identify issues regarding potential risks or detriment that could impact our customers
• Extensive experience of working in Financial Crime with Retail Banking exposure
• Methodical and forward-thinking; able to manage larger projects as well as manage own time and workload on day to day tasks

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