Compliance Complete | Recruitment | Job List

Compliance and Training Supervisor (DipPFS/DipFA), West Sussex

1337101015

Compliance & RegulationFund/Asset ManagementLife & Pensions | 32 - 36 Annually |

To Apply for this job Please contact: Kate Debeer on careers@bestpractice.co.uk

Award winning, rapidly expanding IFA Network requires an experienced Compliance/T&C professional to join the existing supervisory team.

Based in smart offices in Horsham, West Sussex, a 5-minute walk from the main town centre and station, our culture is positive, forward-thinking and technology-driven.

Reporting to the Compliance Manager, you will be predominantly office-based, with regular travel to member firms in the South of England (extending further afield as the membership grows).

Experience requirements;

Minimum 3-5 years general compliance/T&C experience, in a retail environment (IFA, bank/insurance provider, other IFA Network or similar)

Qualifications requirements;

Minimum Diploma qualified (or on target to achieve Diploma status by 2013)

Skills/knowledge requirements;

Detailed knowledge of retail investment products, mortgages and insurance/protection products
Detailed knowledge of FSA rules and their interpretation/application
Ability to train and motivate others whilst remaining flexible/adaptable
Highly developed analytical, observational and communication skills
Ability to utilise contemporary computer technology
Familiarity with platform/wraps an advantage
High level of accuracy and attention to detail is a pre requisite
Must be able to undertake regular on site visits

General Responsibilities;

Keep up-to-date with regulatory and industry developments
Maintain a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within desired timescales
Monitor AR firms, coaching and mentoring approved persons both remotely and on-site, to ensure compliance with both regulatory rules and Network procedures
Liaise effectively with senior management in respect of regulatory and Network issues
Assist the Compliance Director in providing a timely response to requests for information from the FSA
Assist in making all appropriate notifications to the FSA

Must have a full Uk driving license and own car available for use. Mileage can be reclaimed

To Apply for this job Please contact: careers@bestpractice.co.uk

Compliance Assessor, West Sussex

1337100096

Compliance & RegulationFund/Asset ManagementLife & Pensions | 22 - 26 Annually |

To Apply for this job Please contact: Kate Debeer on careers@bestpractice.co.uk

Award winning, rapidly expanding IFA Network requires an experienced compliance/T&C professional to join the existing supervisory team.

Based in smart offices in Horsham, West Sussex, a 5-minute walk from the main town centre and station, our culture is positive, forward-thinking and technology-driven.

Reporting to the Compliance Manager, your role will be one of helping to maintain a systematic, risk-based approach to monitoring the quality of regulated advice across the Network. The position would suit an individual with solid experience in the financial services industry, possibly with a paraplanning, advising or compliance/administration background.

Experience requirements;

Minimum 5 years industry experience in a retail environment (IFA, bank/insurance provider, other IFA Network or similar)
Ideally 1-2 years in general compliance/T&C or paraplanning

Qualifications requirements;

Minimum certificate level qualified (CertFP or CeFA), with the intention of obtaining Diploma status (DipPFS or DipFA)

Skills/knowledge requirements;

Excellent knowledge of retail investment, savings, pension, mortgage and protection products in the IFA sector
Good knowledge of FSA rules and their interpretation/application
Ability to communicate with others confidently whilst remaining flexible/adaptable
Highly developed analytical, observational, written and verbal communication skills
Ability to utilise contemporary computer technology
Familiarity with platform/wraps an advantage
High level of accuracy and attention to detail is a pre requisite

General Responsibilities;

Assist in maintaining a systematic, comprehensive scheme of file monitoring across the Network, in accordance with regulatory requirements
Undertake quality of advice reviews across all areas of the business and all AR firms, maintaining accurate records of trends and communicating them to the team within desired timescales
Undertake supporting monitoring tasks for the compliance team as required
Liaise with the team on associated tasks and projects, and provide constructive input
Liaise effectively and confidently with senior management
Provide telephone support for the Compliance Department as required

To Apply for this job Please contact: careers@bestpractice.co.uk

Head of Integrity and Compliance , Spanish and/or French speaking | 6+ years’ PQE | Zürich, Switzerland

1336488814

Compliance & RegulationRisk | £Confidential |

The FIFA Transfer Matching System GmbH (FIFA TMS) is a fully owned subsidiary of the Federation International de Football Association (FIFA). On behalf of FIFA, FIFA TMS operates an online system to improve the transparency and coordination of international player transfers across the world to address issues of money laundering in football and to protect minor players.

FIFA TMS is now looking to recruit Head of Integrity and Compliance based in Zurich to lead the development of new processes and strategic thinking on the role and future of TMS. Reporting directly into the General Manager, the position will encompass a diverse range of tasks, including managing a team of lawyers and investigators, creating improved processes for monitoring and investigating non-compliant behaviour, developing continued education for stakeholders, liaising with other FIFA departments and external bodies, providing general legal advice ad participating in the development of the strategic direction of the company.

This unique opportunity requires a very bright individual who is keen to take up a new challenge where they will be exposed to ground breaking work in an exciting and fast paced environment. You will have a legal qualification and at least six years professional experience, including management experience. Additional business education and experience preferred. You will be fluent in English and either French or Spanish, other languages are a plus.

For more information on this role or to apply, please contact our exclusively retained consultant Miriam Kuepper on miriamkuepper@taylorroot.com or +44 (0)20 7415 2828.

For all positions based in Switzerland, Taylor Root works exclusively with APC who are our Swiss based and licensed partner. All selected applications will be forwarded by Taylor Root to APC international for processing according to Swiss law.

Compliance Manager – Monitoring and Advisory

1336060903

Compliance & Regulation | 80k - 90k Annually |

Our client is a New York headquartered independent investment bank with a focus on the credit markets. They have a strong reputation in the US and an ever-expanding European presence, headquartered in the City.

Following the successful recruitment last year of their first European Counsel, an increase in trading activity and legal work related to that has created a need for a separate Compliance Manager to focus on both monitoring and advisory work.

Working closely with the European Counsel and the traders, this role requires a seasoned compliance professional who is capable not only of doing the day to day monitoring, but also providing advisory guidance on FSA regulations to the business. This is a true generalist role and will suit someone who has an interest in integrating with a successful growing business and taking on a broad range of responsibilities right across the compliance spectrum.

The leaders of the business are very regulatory focused and respectful of their regulatory obligations so you will find yourself in a highly supportive environment where your role is essential to the successful running of the business.

You will be well remunerated and enjoy a collegiate and high energy environment.

Please contact Monique Mullins on 020 7936 1122 quoting reference 14020 or send her your CV at mmullins@argyllscott.com.

Compliance Manager, Northern Europe

1335359705

Compliance & RegulationInternal AuditRisk | Competitive |

Our client is a multinational industrial organisation and leader in its field. Further expansion to its compliance department means it is now looking for a compliance manager to lead on issues for Northern Europe.

The role will be broad including anti-corruption, data-privacy and anti-trust and will involve further developing their corporate compliance programme in the region.

You will be a candidate with at least 2-3 years compliance experience from either a law firm or similar in-house role.

For more information please contact Rob Baron on +44(0) 207 645 8512 or email rob@laurencesimons.com. ref: 379000

Senior Compliance Manager /Compl6308

1337793326

Compliance & RegulationInsurance & RetailRetail General InsuranceLloyds/Wholesale Insurance | 65k - 75k Annually |

THE COMPANY:

Our client is a Retail and Lloyds Insurance broker

THE RESPONSIBILITIES:

Maintain a credible, appropriately skilled and respected group compliance function and to ensure the annual compliance plan is delivered
Work closely with the Risk Function, evaluate existing regulatory controls and processes and ensure recommendations for improvement are implemented in good time
Report to the Risk and Capital Committee on the delivery of the compliance plan and on the resolution of any material compliance issues
Provide expert compliance advice, take ownership and seek resolution of compliance issues including any new regulatory initiatives
Review regulatory materials relevant to the operations of the company as published by the FSA, Lloyd's and the LMA and provide expert commentary to the business as applicable
Provide education and training on relevant regulation eg, treating customers fairly, money laundering, complaints handling etc
Ensure that procedures manuals are kept up to date and accurate, and reflect current regulatory requirements
Ensure that all appropriate notifications and filings are made to Lloyd's and the FSA and that training records are maintained
Assist the Director of Risk & Governance and senior management team in any other tasks as may be deemed necessary

EXPERIENCE REQUIRED:

Ideally ACII qualified including either Lloyd's Regulatory Requirements paper or its current or previous equivalents
Relevant London Market experience and a proven track record of applying regulatory knowledge to a Lloyd's business
Sound knowledge of FSA, Lloyd's and other major jurisdictions' regulatory requirements
Competent office IT skills

For further information please contact Rafa Hussain

Compliance Assistant

1337789359

Compliance & Regulation | 20k - 25k Yearly |

Compliance Assistant needed for Northwich based Financial Services firm. An exciting opportunity has arisen to join a newly established International Bank (in the Northwich office) during an exciting period of growth.

Job Description:

The role is full time and will report to the Head of Compliance and Financial Crime Management.

The role involves:

Drafting reports of findings to the business, making recommendations for improvement as necessary.

Assisting the team with compliance monitoring and the creation of compliance review reports, presentations etc.

Maintaining records of issues raised and producing regular draft board reports from those records.

Oversight of compliance functions such as Gifts register, Complaints register, Insider records.

Dealing with routine compliance enquiries within current level of knowledge and assistance with ad hoc work as required.

Skill set required:

Excellent analytical and organisational skills ideally developed in the financial services, or similar, industry.

Experienced in working as part of a multi disciplined team with relevant track record of working efficiently across various business units to achieve challenging organisational goals.

A self starter with a strong sense of personal initiative to identify and initiate projects to deliver real business improvements.

Good attention to detail and capable of undertaking a variety of portfolio monitoring and reporting tasks to the Bank's executive with little direct supervision.

Report writing for a variety of audiences ranging from junior to executive colleagues will also be a significant element of the role and as such excellent written language skills will be a key requirement.

Good computer literacy with a solid understanding of Microsoft Office Applications would be an advantage, as would experience with in house database based solutions.

Closing date: The closing date for this vacancy is on Friday 1st June 2012.

Senior Compliance Advisory Manager / Wealth Management

1337787815

Compliance & RegulationSecurities & Wholesale BankingFund/Asset ManagementInvestment Banking/StockbrokingCommodities/Futures | Competitive plus bonus & benefits |

Our client, a global financial institution is looking for a Senior Compliance Advisory Manager to provide advice, guidance and support to the front office in all aspects of their private banking business. The individual would manage a team in helping to develop and maintain regulatory standards to enhance and protect the reputation of the firm.
Duties Include:
• Manage and direct the compliance advisory team and deputise for Head of Compliance
• Liaise with and provide guidance to Senior Management
• Keep Senior Management informed of regulatory changes and assess the impact on relevant business activities
• Assist senior management in their responsibility for complying with all relevant regulations, including the provision of advice on compliance issues
• Attend as required close and continuous supervision meetings with the Financial Services Authority and other regulatory bodies
• Actively support the business by providing detailed compliance advice and guidance in relation to existing and new business initiatives
• Deputise for the Head of Compliance on an ad hoc basis
• Monitor changes to business practices and products to ensure that compliance procedures and controls are adequate to cover them
• Liaise with the relevant audit department in relation to compliance matters including the provision of technical support and guidance and with other control functions

The preferred candidate will ideally have either a private banking, wealth management or securities background and demonstrate a strong understanding of private client business. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to inan@altussearch.co.uk or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.

Senior Regulatory Accountant - Investment Manageme

1337786294

Fund/Asset Management | 70k - 90k Yearly Excellent benefits | A leading Investment Manager with a global presence is looking for a senior technical accountant to join their regulatory accounting team.

The responsibilities will include:

*Critical review and approval of FSA regulatory returns for the UK, Irish and Middle East regulated entities on a periodic and annual basis as well as ensuring the entities continue to trade within their financial and regulatory constraints.
*Lead capital (ICAAP) and liquidity modelling and reporting for all entities that continue to trade within their financial and regulatory constraints and that the models reflect the risks inherent in those businesses.
*Ensure technical compliance with CF10a reporting and monitoring requirements
*Act as key liaison for Compliance for financial and client money reporting matters
*Research and advise on new accounting developments or ad hoc technical questions on behalf of the local and group Finance & Strategy team as they relate to the UK businesses.
*Assist the Head of Accounting & Reporting to manage external and internal audit and other reviews, including ARROW
*Assist the Head of Accounting to implement a strong controls infrastructure and attestation process within the Accounting team
*Critically evaluate new development projects/business and participate in ad hoc projects and reporting from a financial regulatory perspective
*Act as a champion in the Finance team to ensure strong regulatory and technical accounting awareness including relevant new developments

This role requires a qualified chartered accountant with a strong regulatory focus within the asset management sector.

www.badenochandclark.com - Let's find the career that connects with your life.Badenoch & Clark is acting as an Employment Agency in relation to this vacancy. Badenoch & Clark is an Equal Opportunity Employer and a registered Disability Symbol User.

Central Compliance Professional

1337785630

Compliance & Regulation | 50k - 65k Yearly |

Central Compliance Professional needed to join reputable Investment Bank with global presence.

Job description:

Approving PA Dealing, OBAs, Gifts & Entertainment and Private Investments.

FSA & SEC Approved persons registrations, including Training & Competence.

Compliance regulatory reporting (Gabriel & Fees).

Advise (or developing competencies to advise) on the regulatory requirements pertaining to the mandate of the Regulatory Services team (SUP/TRUP, COBS, TC).

Ensure adequate policies, procedures and controls are in place to support the successful delivery of the team's mandate.

Provide support as required in relation to other compliance matters pertaining to UK Capital Markets and Wealth Management businesses.

Handling compliance queries on terms of business and other MiFID related aspects, liaising with the Law Department as necessary on matters requiring their input.

Advising (or developing competencies to advise) on the regulatory requirements pertaining to the mandate of the team as outlined above, as well as on other FSA Conduct of Business (COBS) and Supervision (SUP) matters such as client categorisation, transaction reporting, record retention and outsourcing.

Interfaces with front office, compliance and other functional staff in London.

Regular interaction with various Global Compliance units in Toronto, and across the Europe/Asia region.

Skill set required:

Experience of FSA Approved persons regime, including Training and Competence.

Experience of dealing with PA Dealing, Gifts & Entertainment, Outside Business Activities and Private Investments matters.

Working knowledge of Capital Markets operations and in particular transaction reporting and experience in working in major investment bank within the Compliance Department.

Strong interpersonal and communication skills, particular written skills.

Attention to detail is vital for this role.

Ability to analyse regualtions/consultation documents etc.

Sound working knowledge of applicable internal policies and procedures.

Sound working knowledge of applicable laws and regulations, including those associated with FSA supervision and reporting processing.

Ideally educated to at least first degree level with a relevant degree, hold a recognised relevant professional qualification, or be willing to study for the same.

Fixed Income (Private) Advisor - Senior Manager level - Leading Investment Bank

1337261092

Investment Banking/Stockbroking | £115k + good benefits |

JMEWFIA5PR

£115k + good benefits

City based

Fixed Income (Private) Advisor - Senior Manager level - Leading Investment Bank

The successful candidate will be expected to manage relationships with the businesses at all levels. They must be able to think of their feet, often providing 'live' regulatory interpretations and decisions to the business in high profile and/or time constrained situations.

The incumbent must be a good team player and will be expected to provide back-up support to the fixed income businesses generally and potentially also provide input to new product proposals, business re-organisations, other ad hoc projects, etc. e.g. review of specific initiatives/transactions/structures to identify regulatory issues, as well as term sheets, financial promotions, etc.

Candidate:

The successful candidate is likely to have at least 5 years compliance experience gained within a similar Compliance environment and preferably having significant exposure to private fixed income products.
Based on the trading floor, candidates should possess excellent client handling skills, a self-confident and proactive approach to their work and a desire to work at the forefront of a fixed income business widely recognised in the market as leaders in these fields.
Previous man management experience would be very useful as there will be one report coming into this individual.

If you wish to learn more please contact Ed Wacher on 0207 614 7695 or ewacher@jmagill.com

Fixed Income (Private) Advisor - Manager Level - Leading Investment Bank

1337784407

Investment Banking/Stockbroking | £80k + good benefits |

JMEWFIA5PR

£80k + good benefits

City based

Fixed Income (Private) Advisor - Manager level - Leading Investment Bank

Candidate:

The successful candidate is likely to have at least 3 years compliance experience gained within a similar Compliance environment and preferably having significant exposure to private fixed income products.
The role may represent an interesting opportunity for a lawyer currently within the Legal Department of an investment bank but considering a move to Compliance.
Based on the trading floor, candidates should possess excellent client handling skills, a self-confident and proactive approach to their work and a desire to work at the forefront of a fixed income business widely recognised in the market as leaders in these fields.

If you wish to learn more please contact Ed Wacher on 0207 614 7695 or ewacher@jmagill.com

Regulatory Developments / Policy Manager - Leading Fund Manager

1337784355

Fund/Asset ManagementInvestment Banking/Stockbroking | £65k + good benefits package |

JMEWRD

£65k + good benefits package

City

Regulatory Developments / Policy Manager - Leading Fund Manager

A well known fund management firm are looking to hire an experienced compliance professional to manage the ongoing regulatory developments facing the business.

Specific duties will include:

Reviewing, assessing and advising on publications from FSA and central bank of Ireland and relevant EU bodies.
Reviewing material produced by trade bodies and keeping abreast of current industry thinking.
Assisting with updating relevant manuals and procedures in response to changes in regulation or industry developments.
Providing training on changes to relevant policy or procedures to compliance and business areas as necessary.
Assisting the rest of the department in general compliance matters, ad-hoc reviews and compliance projects, as required.

Candidate:

Knowledge of relevant regulation in the UK and Ireland and their practical application together with experience of the workings of financial markets, particularly investment management/stockbroking.
Familiarity with EU directives and ESMA & CEBS activity would be highly beneficial.
Relevant legal experience would also be attractive
In addition the successful candidate must be able to digest large documents quickly, identifying key issues, and have proven report writing skills.

If you wish to learn more about this role please contact Ed Wacher on ewacher@jmagill.com or 0207 614 7695.

Manager – Central Compliance (Approved Persons), Leading Investment Banking group

1337783756

Fund/Asset ManagementInvestment Banking/Stockbroking | £65k + good benefits |

JMEWAPIB

City

£65k + good benefits

Manager - Central Compliance (Approved Persons), Leading Investment Banking group

A leading international banking group is looking to hire a compliance professional in their central compliance team to primarily oversee approved persons but also a number of other responsibilities.

Specific responsibilities will include:

Oversight of the team providing Regulatory Services to the UK Capital Markets and Wealth Management businesses, including:
o FSA & SEC Approved persons registrations, including Training & Competence
o Approving PA Dealing, OBAs, Gifts & Entertainment and Private Investments
o Compliance regulatory reporting (Gabriel & Fees)
Handling compliance queries on terms of business and other MiFID related aspects, liaising with the Law Department as necessary on matters requiring their input.
Advising (or developing competencies to advise) on the regulatory requirements as well as on other FSA Conduct of Business (COBS) and Supervision (SUP) matters such as client categorisation, transaction reporting, record retention and outsourcing.
Ensure that adequate policies, procedures and controls are in place to support the successful delivery of the team's mandate, including developing the team's capability to work with limited supervision and ensure that the team has sufficient succession planning in place.

Candidate

Knowledge and/or experience of FSA Approved persons regime, including Training and Competence
Experience of dealing with PA Dealing, Gifts & Entertainment, Outside Business Activities and Private Investments matters
An accounting or legal background is preferable but not essential
Experience gained in an Investment Bank would be preferred but an Investment Management background would also be very attractive.

If you would like to learn more about this role please contact Ed Wacher on 0207 614 7695 or ewacher@jmagill.com

Head of Risk & Compliance

1337772603

Compliance & Regulation | 55k - 70k Yearly |

Robert Walters is working in partnership with Melton Mowbray Building Society, a locally based mutual society, providing traditional and online Building Society services. The organisation now seeks to appoint a Senior Manager - Risk & Compliance to join their Head Office operation in Melton Mowbray.

Reporting directly to the Chief Executive, you will become an integral member of the senior management team with responsibility for both corporate governance and a comprehensive risk & compliance management framework within the business.

Your key responsibilities will include:

Analysis of key risks for all existing and proposed business activity, within a sound risk and compliance management framework

Reviewing the effectiveness of processes and controls to mitigate risk and advising the business on new and emerging risks and regulatory compliance matters.

Managing compliance activities across the Group including the functioning of the Society Secretary & Compliance Manager position

To act as Compliance Officer for the Society and its subsidiaries, where appropriate

To apply for this position you are required to have up to date knowledge of relevant legislation in line with FSA guidelines along with knowledge of the financial services environment and the current issues and risks faced. You will also have the ability to demonstrate strong analytical skills and the ability to operate effectively at senior level. Your previous experience must include proven ability to lead board level presentations and discussions.

If you would like to apply for this role or find out more, please apply online or contact Sadie Qureshi at Robert Walters on 0121 281 5000 or sadie.qureshi@robertwalters.com quoting the Job Reference QUS1645500

Where any specific qualification is mentioned, all equivalent overseas qualifications are acceptable

Compliance Assistant – Fund Management Experience Required

1337771876

Compliance & RegulationFund/Asset Management | 40k - 45k Annually + Bonus & Bens |

Our Client, a leading UK Fund Management Firm, is looking for a compliance assistant to join their compliance team. Duties will include;

Carry out PA Dealing checks
Daily, monthly and periodic monitoring.
Guideline monitoring of Charles River alerts and warnings.
Maintenance of the Embargoed Securities List.
Undertake periodic reviews of adherence to compliance regulations and internal procedures for various areas of the business.
Provide advice and guidance to the business on relevant regulatory issues.
To demonstrate awareness of TCF in relation to compliance related matters.
Deal with ad hoc queries.

The successful candidate must have at least twelve months Asset Management Compliance experience whether gained in an in-house compliance department, a consultancy or the regulator itself.

For further information or a confidential no obligation discussion, please feel free to call Chris Clarke on 020 7330 6963 or send your details to him at chris@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Financial Crime Prevention Manager /Compl5930

1335945448

Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/StockbrokingRetail Banking | 40k - 50k Annually |

Up to £50,000pa + Benefits

THE COMPANY:

Our client is a wholesale and retail bank. They are based in the City with a global presence.

THE RESPONSIBILITIES:

Develop and embed appropriate controls, policies and procedures to manage financial crime risk across the Bank and manage the day to day operations of the Financial Crime Prevention Team to help the Bank conduct its activities in accordance with regulatory requirements.
Provide ongoing training to all the staff and ensure that they understand their individual and corporate responsibilities regarding the detection and prevention of financial crime in the Bank.
Advise the business units of regulatory changes that might affect them with respect to Money Laundering Regulations and Financial Crime Prevention.
Help develop and implement relevant and appropriate on-going monitoring programmes that demonstrate compliance with key regulatory requirements.
Remain up to date with regulatory and legislative developments and ensure the implications for the Bank is assessed and where necessary ensure changes are disseminated and implemented.
Provide full cooperation with law enforcement authorities under the Proceeds of Crime Act 2002 and other applicable legislation.
Help ensure that relevant and reliable management information on the AML / KYC issues is delivered to senior management on a timely basis in order to enable effective action to be taken where necessary.
Facilitate effective and constructive sharing of knowledge and experience of financial crime prevention issues and to effectively engage with other parts of the Group.
Oversee management of activities relating to production orders and any other related crown court orders.
Oversee and working with the MLRO help manage SARs disclosures and communication with relevant authorities including SOCA.
Undertake projects and assignments from time to time as directed by the supervisor.

EXPERIENCE REQUIRED:

Relevant experience in Compliance & Fraud Prevention
Possess a thorough up-to-date understanding of the relevant FSA rules, anti- money laundering legislation, Proceeds of Crime Act, and all applicable statutes to the Bank's businesses

For further information please contact Hannah Tabatabai

Compliance Monitoring Officer X 2/Compl6258

1336465768

Securities & Wholesale BankingFund/Asset ManagementInvestment Banking/StockbrokingCommodities/Futures | 45k - 60k Annually |

Compliance Monitoring Officer X 2 London £50,000pa - £60,000pa

THE COMPANY:

Our client is one of the world's leading brokers, they have a global presence and exciting new growth plans.

THE RESPONSIBILITIES:

To support the Firm's understanding, identification and control of Compliance and Regulatory risks through the delivery of the Compliance Monitoring Programme.
Develop the Compliance Monitoring Programme with support from the Head of Compliance.
Perform monitoring reviews (both desk based reviews and thematic reviews) using a risk based approach as defined within the Compliance Monitoring Programme.
Investigate significant regulatory concerns on an ad-hoc basis as and when they arise.
Provide feedback into the Compliance Monitoring Programme.
Produce compliance monitoring reports and discuss results and recommendations with the business.
Track issues identified and recommended actions and ensure these are closed down appropriately within agreed time lines.
Escalate issues which are not remediated within agreed timeframes to the Head of Compliance.
Liaise with Advisory Partners and business and support functions to identify risk areas, investigate issues and agree recommended actions.
Act as subject matter expert in relation to primary areas of responsibility.
Assess the effectiveness of the Risk Assessments.
Support the Head of Compliance and the MLRO with investigations of suspicious behaviour
Identify issues with policies and procedures as part of monitoring reviews, including adherence to the policies, as part of the desk reviews.
Escalate any issues identified to the Head of Compliance
Provide input into and assist with the drafting of relevant Compliance policies and procedures
Identify training requirements as part of monitoring reviews and escalate these to the Advisory Partners
Monitor the accuracy and appropriateness of training materials and attendance records as per the Compliance Monitoring Programme

EXPERIENCE REQUIRED:

A good working knowledge of a wide range of financial product and services.
Knowledge of trading exchanges advantageous (e.g. LIFFE, LSE, ICE etc.).
Relevant experience of Compliance Monitoring
The ability to perform risk based analysis of MI and to identify risks and remediation actions.

For further information please contact Hannah Tabatabai

Compl6258

Trade Monitoring and Surveillance Officer/(Compl6263)

1336146145

Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/StockbrokingCommodities/Futures | 45k - 60k Annually |

Trade Monitoring and Surveillance Officer London £50,000pa - £60,000pa

THE COMPANY:

Our client is one of the world's leading brokers, they have a global presence and exciting new growth plans.

THE RESPONSIBILITIES:

To support the Firm's Compliance function through the ongoing monitoring and surveillance of transactions to identify, manage and report potential incidents of market abuse and other improper activity.

Surveillance:

Monitor trading activities against Watch and Restricted lists.
Perform daily trade surveillance activities for market abuse.
Maintain log of identified market abuse issues and other suspicious transactions.
Support investigations of suspicious behaviour by providing expert advice and technical assistance.
Act as a liaison point for exchange relationships, including information requests and audits.
Act as subject matter expert in relation to primary areas of responsibility.
group.

Monitoring:

Develop the Compliance Monitoring Programme with support from the Head of Compliance.
Perform monitoring reviews (both desk based reviews and thematic reviews) using a risk based approach as defined within the Compliance Monitoring Programme.
Investigate significant regulatory concerns on an ad-hoc basis as and when they arise.
Provide feedback into the Compliance Monitoring Programme.
Produce compliance monitoring reports and discuss results and recommendations with the business.
Track issues identified and recommended actions and ensure these are closed down appropriately within agreed time lines.
Liaise with Advisory Partners and business and support functions to identify risk areas, investigate issues and agree recommended actions.
Act as subject matter expert in relation to primary areas of responsibility.
Identify issues with policies and procedures as part of monitoring reviews, including adherence to the policies, as part of the desk reviews.
Escalate any issues identified to the appropriate person.
Provide input into and assist with the drafting of relevant Compliance policies and procedures.
Previous experience of transaction monitoring within a large corporate environment would be preferable.
Knowledge of trading exchanges advantageous (e.g. LIFFE, LSE, ICE etc.).
Identify training requirements as part of monitoring reviews and escalate these to the Advisory Partners.
Monitor the accuracy and appropriateness of training materials and attendance records as per the Compliance Monitoring Programme.

EXPERIENCE REQUIRED:

Relevant Trade Monitoring and surveillance experience

For further information please contact Hannah Tabatabai

Compl6263

AML Compliance Officer (EXCLUSIVE INSTRUCTION) /Compl6278

1337015672

Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/Stockbroking | 45k - 60k Annually |

THE COMPANY:

We have been Exclusively instructed by our client who are a Foreign Exchange broker with exciting growth plans.

THE RESPONSIBILITIES:

Manage day to day AML and CDD, providing support to all areas of the Compliance department as required.
Conduct KYC checks for corporate clients and approve new client relationships for both private individuals and corporate clients in accordance to compliance procedures.
Investigation and approval of hits against the World Check database during the screening of clients and beneficiaries, reporting high risk matches to the Head of Compliance.
Authorise incoming and/or outgoing third party payments in accordance with company policy.
Provide timely and clear advice and guidance to all staff and clients on matters related to compliance or regulatory issues.
Carry out the company's monitoring programme, investigating any issues flagged and escalating them when necessary.
Carry out client account investigation and audits as assigned by the Head of Compliance.
Keep abreast of any developments in the UK regulatory framework in AML, TF & Data Protection.
Assist the Head of Compliance in the investigation of Suspicious Activity Reports (SARs) and in the external reporting to SOCA by preparing online SARs, liaising with SOCA as & when required.
Preparation of responses to requests from law enforcement agencies or other external parties.
Assist with regulator visits by external auditors, banks, the FSA and HMRC.
Assist in the devise and implementation of Compliance policies and/or procedures and in the update of the Compliance Manual.
Responsible for compliance training, delivering compliance induction training to new employees and managing the company's online training system.
Assist in the reporting of the different company's in the group to their relevant regulators, including the FSA.
Coordinate with other departments as necessary to ensure that all queries are handled effectively.
Liaise with suppliers to resolve any technical issues and negotiate contracts.
Perform other related duties and assist in special projects on an ad hoc basis.

EXPERIENCE REQUIRED:

Previous Compliance experience, in particular in AML from a Foreign Exchange, Money Transfer or Brokerage firm
Excellent knowledge of the JMLSG guidance and the UK ML Regulations
A second language would be an advantage but not essential

For further information please contact Hannah Tabatabai