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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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    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:

 

Sanctions Compliance Officer

SAVE
£50000 - £55000 per annum


We are looking for a mid-level Compliance Officer to complement a small Risk & Compliance function, based in central London.


Key Responsibilities
Sanctions/Financial Crime:

  • Analyse complex transactions to be processed for the London insurance market from an OFAC and EU/UK sanctions perspective and provide robust decisions whether transactions can proceed.
  • Review and update sanctions and financial crimes policies, procedures and process documents as applicable.
  • Review and maintain the Sanctions Risk & Controls log.
  • Provide training to staff on compliance related topics.
  • Prepare monthly compliance newsletters for circulation to staff.


Essential Skills/Qualifications:

  • At least 2/3 years experience working in the London insurance industry
  • At least 2/3 years working in compliance or legal departments working on financial sanctions, or other financial crimes areas (AML, ABC).
  • Have experience working with sanctions screening tools and the screening review process.
  • Be familiar with EU/UK and US sanctions regimes.

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

Compliance Manager - Monitoring

SAVE
£55000 - £70000 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.
  • 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.
  • Assist in the delivery of an efficient regulatory risk framework feeding into a risk-based CMP.

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