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Regulatory Compliance Officer

£45000 - £55000 per annum + Benefits

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 registrars.
  • 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.

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

 

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Compliance Manager

SAVE
£40000 - £65000 per annum


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.