Our client is an innovative investment platform, offering market-leading technology and wealth management services.
THE RESPONSIBILITIES:
Maintenance and development of the Compliance Monitoring Programme;
Allocation and execution of all testing and monitoring activities in a timely and thorough manner (with the assistance of 2 team members);
Discussing and agreeing any remedial actions resulting from the testing and monitoring activities;
Ensuring implementation of agreed action plans are met in a timely and accurate manner;
Report on outcomes and conclusions of testing and monitoring, and ancillary activities, including the remediation of any gaps;
Effective and clear organisation and documentation of the execution of the monitoring and testing programme.
Ensuring all compliance policies and procedures are up to date and regularly reviewed.
Oversee the annual risk assessment process for Operations
Expand the current process throughout the firm.
Deputising for the Compliance Officer in their absence including attendance of internal committee and management meetings and supervision of other members of the Compliance Team;
Responding to day-today enquiries from the business and the Firm’s customers;
Assisting the Compliance Officer in the preparation of responses to information requests from the FCA and other regulatory bodies.
EXPERIENCE REQUIRED:
At least ten years generalist Compliance experience which has included provision of business advisory support, compliance monitoring and testing, drafting and updating of policies and procedures, representing Compliance in internal committees and working groups, customer complaints handling and general liaison with customers and external third parties.
Good understanding of current UK legal and regulatory requirements;
Knowledge and/or experience in any of the following areas would be advantageous; CRS and FATCA, Data Protection & Privacy, Market Abuse and Transaction Reporting;
Ability to communicate clearly both verbally and in writing;
Ability to manage and prioritise own workload and meet deadlines; and
Proactively look for ways to enhance current Compliance documentation and practices.
For further information please contact Duncan Jeffery
