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Compliance Manager - Monitoring

£60000 - £65000 per annum + Bonus, benefits


Job Specification – Compliance Manager

  • This client manages fixed income, equity, multi-asset, liability-driven investment, property and alternative solutions on behalf of its clients.
  • Located across the globe, our clients include institutional pension funds, financial institutions, local authorities and sovereign wealth funds.
  • In order to meet the complex and evolving investment needs of our clients, we focus on remaining at the forefront of investment product innovation and maintaining our reputation as experts across all asset classes.



Job Duties

  • The Compliance Manager will work as part of the Compliance monitoring team and a wider Compliance team to provide high quality compliance monitoring support to the business. Regulated entities undertaking monitoring functions, management information reporting, some advisory support and carrying on ad hoc Compliance projects.



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 the business 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.

 

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This job has now been filled but you may be interested in:

 

Financial Crime and Compliance Lead

SAVE
£100000 - £130000 per annum


Compliance Officer and MLRO leading the Financial Crime and Compliance function for a Trade finance house in London with International officer.

Responsibilities include:

  • Form the compliance function and manage the compliance risks of the Group globally.
  • Develop and maintain compliance policies, procedures and controls.
  • Evaluate compliance risks on transactions and propose solutions.
  • Monitor compliance with compliance policies and procedures.
  • Deliver training and updates on compliance matters to staff globally.
  • Remain abreast of compliance developments, advise Senior Management and with the MD implement the necessary procedures to ensure ongoing compliance.
  • Raise awareness of compliance risks and contribute to developing the culture.
  • Conduct onsite risk assessments and compliance audits at various offices and departments. Based on findings develop, agree and implement corrective action plans.
  • Provide reports and management information to the MD, Audit & Risk Committee and/or Chairman as required

Experence required:

  • Excellent knowledge of financial crime.
  • Legal or SME background
  • Experience in a financial institution and/or top tier commodities trader.
  • Strong attention to detail.
  • Solutions focussed and dynamic.
  • Trade finance experience will be advantageous.

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