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THE COMPANY:

We have been Exclusively by Our client - a global arm of a leading Merchant Bank with international operations and a diverse range of services. They are looking for a Senior Compliance Officer for their well established team

THE RESPONSIBILITIES:

• Providing ad hoc advice and acting as a focus for all compliance related issues
• Ensuring that all employees are aware that the Compliance Officer should co-ordinate and be involved in all internal and external discussions and communications with a compliance aspect and should co-ordinate and be involved in all discussions and communication with FSA and relevant exchanges and regulatory bodies.
• Report to the significant issues and new FSA and exchange board notices and the resulting business implications
• Structuring and implementing new client arrangements/relationships in accordance with regulatory and firm’s requirements
• Advising on regulatory and firm’s implications of new products, new rules and new clients
• Identifying and dealing with breaches of rules
• Managing a small team
• Defining in-house rules, systems, procedures and monitoring to ensure compliance with firm’s, and FSA rules, the requirements of the Takeover Code, and the insider dealing laws
• Communicating with Firm’s, FSA and Exchange compliance functions
• Ensure that procedures are in place to deal with customer complaints and monitor such procedures
• Notify FSA and relevant officers of all events as required by the rules and ensure that all financial and other returns are submitted on time
• Establish procedures to ensure that all levels of staff are aware of the regulatory and internal requirements and receive sufficient and adequate training
• Perform regular monitoring and follow up any actual or potential problems
• Ensure that there are adequate procedures to deal with: customer account opening, customer account closure, amendment and change, personal account dealing share disclosure rules, structure of client relationship is acceptable and complies with relevant rules, adequate client documentation is in place and complies with relevant rules
• Review the monitoring of trading activities
• Oversee the preparation, submission and recording of FSA, exchange and other relevant registrations
• Ensure that the firm’s in-house personal account dealing and other rules satisfy and conform to regulatory requirements including addressing aspects relating to confidential information and conflicts of interest
• Regular contact with FSA to ensure that good working relationships are fostered and that firm is fully aware of any regulatory changes
• Raise the compliance department profile both internally and with regulators and exchanges
• Receiving from staff members internal reports of suspicious activity
• Reviewing any relevant know your client information and considering any suspicious activity
• Making external reports to NCIS to report suspicious activity if any is determined
• Maintaining adequate arrangements for awareness and training about money laundering
• Making reports to the relevant firm's senior management on anti-money laundering activities
• Co-ordinating FSA, exchange, clearing house and other relevant visits; inspection visit reports

EXPERIENCE REQUIRED:

• Relevant Compliance experience required from Investment Banking, Exchange, Regulator, Broker
• Securities and Derivative background is required

For further information please contact Hannah Tabatabai

Compl3428

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