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Compliance Manager

£65000 - £75000 per annum


Purpose of Job

To work with the Head of Compliance to identify, measure and manage Compliance for the London Branch, to ensure that the London Branch behaves ethically and in full compliance with relevant Laws and Regulatory requirements.
To hold responsibility as Compliance Manager, implementing policies and procedures to mitigate Compliance risks.
To hold responsibility for developing and maintaining a Compliance Monitoring programme to identify and mitigate Compliance Risks.


Responsibilities & Accountabilities

Monitoring
  • Provide assistance in developing and implementing a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks.
  • Key responsibility for day to day monitoring and reporting of compliance risks.
  • maintaining and monitoring compliance with key compliance policies, this includes maintaining relevant restricted investment registers, conflicts and gifts and hospitality.
  • Ensure that compliance procedures, systems and controls are up-to-date and effective.
  • Responsibility for escalating any material breaches in compliance to the Head of Compliance.
Advisory
  • Maintain a detailed understanding of the relevant regulatory requirements to provide advice and guidance to the Head of Compliance and other Compliance colleagues.
  • Be responsible for promoting regulatory awareness through employee training, including working with other members of the Compliance Department to provide both induction training for new employees and regular training to all employees on compliance matters, including internal policies and procedures, the application of standards and guidelines, and relevant laws and enhancing a strong branch-wide compliance culture.
Risk Assessment
  • Drive the compliance risk assessment process ensuring that the compliance risks are appropriately identified and assessed.
AML
  • Assist the Compliance Department and Front Line to ensure that appropriate AML due diligence checks are carried out.
  • Assist the Compliance Department in keeping internal processes and procedures up to date as required due to regulatory changes.
Reporting
  • Prepare standard and ad-hoc information and data reports for internal and external reports as required.
  • Prepare and manage appropriate timely management information on compliance and regulatory issues including suggested mitigating actions.
  • Provide input into the Annual Compliance Plan
  • Assist with preparing and coordinating ad-hoc reports on compliance developments as required.
Policy and Procedure Development
  • Review relevant policies and procedures on a regular basis to ensure they comply with statutory and regulatory requirements.
  • Where relevant participate in the development and implementation of other policies and procedures, ensuring regulatory and legislative requirements are met.


Experience and Qualifications

  • Minimum 3 years’ experience of working in a UK Financial Institution covering Compliance and AML.
  • Industry related qualification such as ICA or CISI or ACAMS or degree.
  • Good Communicator and willing to continue professional development.
  • Exemplary Ethics and Integrity.
  • Excellent interpersonal skills for handling diverse situations.

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

 

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