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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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Compliance Manager

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£65000 - £72000 per annum


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 Manager

SAVE
£80000 - £90000 per annum

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.