Compliance Manager

This leading financial services group is currently looking to hire a Compliance manager to join their Compliance group.

Main duties of the role will include:

· Oversee the client due diligence processes in line with UK laws and regulations and Anti-Money Laundering and Counter Terrorist Financing monitoring

· 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.

· Drafting compliance policies, manuals and procedures, researching into and reporting on regulatory requirements with opportunities to present to senior management.

Candidate requirements include:

· Experience in a Compliance function preferably in a securities business 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

If you would like to apply for this role or find out more, please apply online or contact Faye Condy at Robert Walters on 0207 509 8133 or faye.condy@robertwalters.com quoting the Job Reference 1113720

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