Complinet | Recruitment

Complinet | Recruitment | JobComplinet | Recruitment | JobDeputy Head of Compliance : Securitieshttp://www.complinet.com/recruitmentjobs/job/details/id/1183365000 - 68000 Annually | Location: City of London | Sector: Compliance & Regulation | Published: March 16th 2010 | Our client is a highly renowned global securities firm based in the heart of the City of London This is a senior role within the compliance department . Key Responsibilities : Compliance and Anti-Money Laundering *Oversee the client due diligence processes in line with UK laws and regulations and Anti-Money Laundering and Counter Terrorist Financing monitoring - involves checking clients and ensuring that new and current clients comply with UK Anti-Money Laundering and Counter Terrorist Financing requirements. *Conducting Country Risk Assessments, ascertaining the risks involved in trading with companies based in various countries. *Devising the material for and carrying out staff training on regulatory matters including induction training, approved person training, anti-money laundering and financial crime, market abuse and other regulatory topic training *Overseeing the new joiner process including competency assessments, FSA registration and deregistration processes and administration of the exam and training bookings. *Undertaking the risk-based monitoring programme, including overseeing the daily, monthly and quarterly monitoring and carrying out topic specific reviews and assessments to ensure adherence and compliance with UK FSA Regulatory requirements. Reviewing and updating the regulatory risk assessment on which monitoring is based. *Drafting compliance policies, manuals and procedures, researching into and reporting on regulatory requirements with opportunities to present to senior management. *Dealing with ad hoc enquiries from the business areas and being the first point of contact in the Compliance team for incoming queries. *Keeping up to date with regulatory developments and assisting the Head of Compliance with the implementation of new rules and processes. *Acting as the firm's Data Protection Officer. *Providing cover for the Head of Compliance. Person Specification *Experience in a Compliance function preferably in a securities business environment, or other relevant experience in a financial services environment *Must have a thorough knowledge of UK regulatory system and its application with particular focus on securities business, preferably with a relevant qualification *Good understanding of the laws, regulations and the risk based approach in relation to AML and CTF client due diligence, and its application to wholesale clients *Understanding of wholesale fixed income securities business is preferable *Strong working knowledge of Word, Excel, and Outlook *Experience of working in a small team and of overseeing the team's work Joslin Rowe - Winner of 4 UK Recruiter Awards including Best Accountancy/Financial Recruitment Firm and Best Office Support Agency. Joslin Rowe is a Randstad company. Joslin Rowe Associates Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK. Joslin Rowe Associates Ltd is acting as an Employment Agency in relation to this vacancy.