Compliance Complete | Recruitment | Job List

Compliance Operations /Compl5440

1337618039

Compliance & RegulationInsurance & RetailLife & Pensions | 35k - 40k Annually |

THE COMPANY:

Our client is a leading financial service firm, with a Global presence. They provide a range of protection products and wealth management services.

THE RESPONSIBILITIES:

Respond to regulatory related queries providing pragmatic and compliant solutions
Support business areas, outside of new business, with regular liaison, advice and/or involvement in project work
Keep abreast of all relevant regulatory and industry publications (for example FSA, ABI, OSFI) to enable an effective advisory service to the business areas
Ensure any implications are assessed and where necessary, ensure changes are disseminated and implemented
Develop and maintain a close and continuous relationship with key stakeholders, promoting a "can do" attitude and ensuring a positive image of compliance is portrayed throughout the business
Notify management of any issues which may adversely affect the company or its relationship with clients and the regulator
Facilitate effective and constructive sharing of knowledge and experience of compliance issues and effectively engage with other parts of the business
Help support the development of compliant, flexible and robust systems, procedures and controls within the businesses to meet compliance objectives and improve the businesses' performance in these areas, in particular Approved Persons, regulatory reporting etc

EXPERIENCE REQUIRED:

Possession of a relevant Financial Services qualification
Experience in the Financial Services industry, with some relevant life and pensions Compliance experience
A Good understanding of FSA regulations, business risk and compliance issues in particular in relation to life and pensions
Practical experience of interpreting and applying the rules and helping the business to achieve its objectives

For further information please contact Eleri Worthington

Head of Compliance /Compl6053

1337618220

Compliance & RegulationInsurance & RetailLife & PensionsRetail General Insurance | 60k - 70k Annually |

THE COMPANY:

Our client is a well regarded general insurer and financial services organization. They offer various products including savings, life insurance and pension.

THE RESPONSIBILITIES:

Lead and direct the Regulatory team
Advise the Boards of regulated firms within the Group on the regulatory implications of business strategies to ensure that the company remains compliant with the relevant requirements and standards of the regulatory system
Represent the business to the regulators and manage the relationship
Ensure that each business area acts within the FSA regulations and principles
Build proactive business-partner relationships with internal groups
Provide ongoing compliance support to work with the business areas in improving processes
Provide support and ongoing advice for employees on how to manage regulatory risks and compliance and, balance it with the business needs of their operation
Compile any new or refresher training on compliance topics, with the compliance team
The completion of customers Subject Access Request (SARS)
Manages visits from regulators

EXPERIENCE REQUIRED:

Experience operating and managing a regulatory team
Experience in developing and managing operational compliance and regulatory risk within a diverse and multi site organisation
Experience in developing and successfully delivering compliance projects/plans and the compliance elements of business strategies
Necessary qualifications to satisfy the regulators
In depth knowledge of FSA regulatory requirements with a working knowledge of the DPA, CCA, Advertising standards and DDA

For further information please contact Rafa Hussain

Compliance Officer /Compl6088

1337617705

Compliance & RegulationInsurance & RetailMortagesRetail Banking | 30k - 35k Annually |

THE COMPANY:

My client is specialist Retail Bank.

THE RESPONSIBILITIES:

Assisting the Head of Compliance to ensure that the Bank maintains a robust but pragmatic risk based compliance framework with effective feedback mechanisms to the business
Providing a professional and effective risk based compliance monitoring function, which meets Financial Services Authority (FSA) requirements
Implementing compliance investigations and interventions where the need is identified through monitoring or otherwise, including in relation to financial crime
Identifying, assessing, advising, monitoring and compiling reports on the Bank's compliance risk
Execution of the compliance monitoring plan and an effective control system to ensure compliance monitoring meets regulatory standards
Providing timely and accurate management information on compliance monitoring activities to the Head of Compliance, Chief Legal and Compliance Officer, Executive team and Board
Compiling timely and accurate management information regarding the Fair Treatment of Customers and providing feedback and advice to the Business on areas identified as requiring improvement
Performing compliance approvals and compiling compliance reports to support the Senior Compliance Officer when required

EXPERIENCE REQUIRED:

Relevant compliance experience in the financial services industry
Experience and expertise in relation to the UK Financial Services regulatory framework
Experience of Channel Islands Financial Services would be of benefit
Experience of working with an offshored/outsourced compliance function would be of benefit

For further information please contact Rafa Hussain

Compliance Advisory Consultant – Life & Pensions

1337614087

Compliance & RegulationInsurance & RetailLife & PensionsRetail General Insurance | 35k - 40k Annually + Bonus & Bens |

Our Client, a leading financial services group are looking to recruit a Compliance Advisory Consultant to join an established team and to provide advice to managers on regulatory implications of business and strategic initiatives. Reporting to the Compliance Advisory Manager, duties will include:

Respond to regulatory related queries providing pragmatic and compliant solutions.
Support business areas, outside of new business, with regular liaison, advice and/or involvement in project work
Keep abreast of all relevant regulatory and industry publications (for example FSA, ABI, OSFI) and ensure the implications are assessed and where necessary, ensure changes are disseminated and implemented.
Notify management of any issues which may adversely affect the business or its relationship with clients and the regulator
Facilitate effective and constructive sharing of knowledge and experience of compliance issues and to effectively engage with other parts of the business
Help support the development of compliant, flexible and robust systems, procedures and controls within the businesses to meet compliance objectives and improve the businesses' performance in these areas, in particular Approved Persons and regulatory reporting

You should have previous Compliance technical experience ideally from a retail Life & Pensions environment and be able to work under your own initiative.

Please call Spencer Herbert on 020 7330 6960 for a confidential discussion about this position or send your details to spencer@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.

Compliance and Ethics Manager- West London/Slough/Windsor

1337186740

Compliance & Regulation | 40k - 55k Annually |

In this newly created position, you will be a key member of the Compliance & Ethics function, involved in the development and implementation of Compliance & Ethics initiatives and activities.

Responsibilities:

Ensure that the compliance and ethics policies and procedures are communicated and integrated
Support new legal requirements with applicable compliance & ethics program components based on risk assessment
Manage periodic regional compliance & ethics program reviews and remediation activities
Ensure timely investigation and resolution as well as production of relevant reports for any ethics-related enquiries
Collaborate with other subject matter experts and control functions to monitor adherence to applicable laws
Support training and certification on the Code of Business Conduct & Ethics and related guidance supplements

Skills:

A working knowledge of relevant laws and regulations, including privacy/data protection legislation
Experience of performing a similar role previously within an international company
Experience in dealing with people at all levels including senior executives
Excellent analytical, written, interpersonal and presentational skills
Familiarity with best practices in maintenance of electronic records and other electronically stored information
Project Management experience (internal audit/investigation knowledge) would be a benefit
Managerial or supervisory experience would be useful
Preferably educated to graduate level or equivalent in a business discipline

To discuss this position in more detail please call Claire Ross on 01732 746668 or claire.ross@holmessearch.co.uk.

Compliance Assistant – Retail Financial Services

1336055734

Compliance & RegulationLife & PensionsRetail General InsuranceMortagesRetail Banking | 25k Annually + Bonus & Bens |

Our client, is looking to recruit a Compliance Assistant to assist the Compliance Manager, with the provision of compliance services, to ensure compliance with all legislation as it affects the Group's operations and to promote a culture of compliance throughout the Group. Reporting to the Compliance Manager, duties will include:

Review new legislation, regulatory requirements and Codes of Practice and assess the impact of such changes on the Group's operations
Provide guidance to staff on legislative and regulatory developments.
Provide advice and assistance to staff with the development, implementation and maintenance of compliant policies and procedures as an integral part of the Group's on-going commitment to compliance
Assist in the development, implementation and maintenance of compliance monitoring programs as required within the Group to promote the importance of compliance among the Group's employees as an integral part of their daily activities
Review systems and procedures established throughout the Group to ensure compliance with statutory requirements and the preparation of reports to management to highlight areas where improvements or revised procedures are required
In liaison with the Training Officer, assist in the assessment of training and competency requirements for Group employees, and in the development of internal training courses, as required
Assist with the recording, monitoring and reporting of complaints, to include the on-going maintenance and development of the complaints database

You should have at least 12 months experience within retail financial services environment, including an understanding of TCF.

Please call Spencer Herbert on 020 7330 6960 for a confidential discussion about this position or send your details to spencer@compliancerecruitment.com

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

Head of Compliance & MLRO (CF10 & CF11) – Investment or Life Assurance Experience Req’d

1336145389

Compliance & RegulationFund/Asset ManagementLife & Pensions | 60k - 80k Annually + Bonus & Bens |

Our Client, an international financial services company is looking to recruit a Head of Compliance, reporting to the Chief Operating Officer. Managing the Compliance team, duties will include;

Provide Compliance and AML oversight and hold the associated FSA Controlled Functions 10 (Compliance Oversight) and 11 (Money Laundering Reporting).
Ensure the Compliance function has the correct levels of regulatory oversight and that procedures and monitoring activity adequately support the requirements expected
Act as the Data Protection Officer.
Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
Responsible for reviewing risks including the Risk Register and escalating to the Board those representing the greatest threat to the organisation.
Responsible for the Training and Competence scheme and ensuring in conjunction with HR that it is suitably documented and monitored.
Maintain good day-to-day relationships with relevant Regulatory organisations, Advisers and internal support services.

Candidates should have previous experience of Financial Services compliance, gained preferably in the Investment or Life Assurance sectors backed by previous staff management experience, whether gained from a similar in-house role, a consultancy or the Regulator.

Please call Spencer Herbert on 020 7330 6960 for a confidential discussion about this position or send your details to spencer@compliancerecruitment.com

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

Compliance Analyst – Financial Promotions Experience Required

1336144491

Compliance & Regulation | 50k - 60k Annually + Bonus & Bens |

We are recruiting for a leading financial services firm looking for a Compliance Analyst to join their compliance department. Duties will include:

Approving financial promotions
Providing compliance advice and support to the business and management
Managing the production of monthly compliance reports to senior management in the UK & Europe
Examining rule changes and discussing implications for the business
Providing compliance/regulatory input into monitoring programmes
Undertaking ad hoc reviews and projects as determined

You should have several years compliance experience with good financial promotions experience gained from a similar in-house role, a consultancy or the Regulator.

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 as below.

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

Guideline Monitoring – Fund Management Knowledge Required

1336144462

Compliance & RegulationFund/Asset Management | 50k - 60k Annually + Bonus & Bens |

We are recruiting for a fund management firm looking for a Compliance Monitoring Analyst to join their compliance department. Duties will include:

Monitoring adherence with investment restrictions of mandates.
Producing and reviewing daily exception reports.
Coordinating the resolution of exceptions as appropriate with various business areas.
On-going maintenance of the post trade restrictions coded into the system and liaison with external service providers
Examining relevant rules changes and highlighting implications for the business with manager
Identifying and monitoring compliance risk areas of the business rules and to initiate corrective action for avoidance of future breaches.

You should have several years compliance experience including guideline monitoring experience within fund management, gained from a similar in-house role.

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 as below.

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

Compliance Monitoring – Similar (or External Audit) Experience Req’d

1336144444

Compliance & RegulationFund/Asset Management | 50k - 60k Annually + Bonus & Bens |

We are recruiting for a fund management firm looking for a Compliance Monitoring Analyst to join their compliance department. Duties will include:

Undertaking compliance monitoring reviews (to include planning, fieldwork and report production) at UK & overseas offices and at third parties to ensure company functions are adhering to company policies, procedures and regulatory requirements
Supervise/mentor as required less experienced members of the monitoring team
Identify and monitor compliance risk areas in the business and to initiate corrective action for avoidance of future breaches
Undertake ad hoc work/projects

You should either have several years compliance monitoring experience within fund management, (gained from a similar in-house role, a consultancy or the Regulator) or else have experience of external audit of large firms now looking to specialise in the growing field of financial services Compliance.

Compliance Adviser (Surrey)

1335340815

Fund/Asset ManagementLife & Pensions | 55k - 70k Annually |

Our client are a large financial services organisation with a focus on Pensions and Retirement planning. They now have a requirement for a Compliance Adviser. The focus of the Adviser will be to ensure that the company keeps up to date with changes to the regulations and complies with them.

Specific responsibilities include

• Monitoring and researching changes to FSA handbooks and UK legislation and, similarly, for European countries. Determining how those changes affect the company. Producing changes to internal procedures. Documenting how we satisfy the regulatory requirements.
• Carrying out regulatory audit visits to UK and European offices to check on compliance with external and internal regulatory requirements. Using those audit visits as an opportunity to present to client teams on regulatory matters.
• Working closely with client-facing consultants so that any regulated arrangements are a good fit to the business.
• Giving technical advice, based on external regulations and internal procedures, to client-facing consultants within the company.

Given that audit work is part of the role, the candidate can expect to spend some of their time away on audit visits, occasionally abroad.

The candidate
The candidate should have a good background in compliance matters, covering investment and insurance mediation. Ideally that experience would have been gained in organisations that give advice to corporate bodies: employers and trustees of pension funds.

Key skills will include

• Good background of compliance matters, covering investment and insurance mediation.
• Clear communication skills - written and spoken.
• Capable of taking significant responsibility but recognising when to consult others
• A strong Pensions background would be beneficial

Suitable candidates should email their CV to danwise@jarvisblake.com

T&C Compliance Officer – FPC Qualified

1336143655

Compliance & RegulationLife & Pensions | 35k - 40k Annually + Bonus & Bens |

Our Client, a leading high net worth financial advisor is looking to recruit a Business Quality Executive to support the UK Business units in delivering the T&C function and develop compliance procedures under changes towards RDR. Reporting directly to the Head of Training and Development, duties will include:

Contributing to the induction process for new Partners and staff, including skills assessments and analysis of training needs
Undertaking live and role-play observations and assessments with new and experienced Partners
Deliver the Partner Risk ratings and deal with any action required or identified
Co-ordinating and delivering training programmes for Partners and staff in areas such as product knowledge, sales skills and company procedures
Report concerning the application of field-based Compliance, T&C requirements, and Partner development
Implementing corrective actions as identified and reported by the central, specialist Compliance functions
Ensuring all record-keeping requirements for T&C/Compliance are completed and maintained
Provide and manage the development and training of all Para planners and Researchers in alignment with the regulatory requirements of the company and with the Partners' business plans
Participate in appropriate company and departmental training, competence and development initiatives

You must have several years Life & Pensions compliance and/or T&C experience and hold (or be studying towards) a full qualification in financial advice (either FPC/CeFA or CF1 - CF5).

Please call Spencer Herbert on 020 7330 6960 for a confidential discussion about this position or send your details to spencer@compliancerecruitment.com

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

Internal Audit - Actuarial - Solvency II - £50K

1336143466

Life & Pensions | 30k - 45k Annually |

A US-listed Insurance business with over $10 billion of revenues have created an Internal Audit opportunity to plug a skill shortage in their team. This role will cover the Actuarial and Solvency II focused elements of the audit plan. This role would suit someone with an Actuarial degree / background who is looking to move out of an direct part-qualified actuarial role. It would also suit someone with an audit (internal or external audit) background and exposure to Solvency II and insurance. A quantitative background and experience of capital modelling and statistics would enhance an application.

You will carry out audit assignments in accordance with the annual audit plan include scoping the audit work, agreeing terms of reference, carrying out the audit fieldwork, drafting and agreeing the audit report including the findings, recommendations and management responses. You will focus on audits in these areas: Actuarial investigations & analysis assessing the key control environment over the 5 principal activities; Valuation & Regulatory Reporting, Actuarial Systems, Capital & Risk Management, Product Development & Profitability and Financial & Experience Analyses.

Salary £40k-£50k plus excellent benefits. The role is based in Surrey in the Gatwick area just outside the M25. Apply today for immediate consideration to James Willacy at Austin Andrew.

ERM - Insurance - Surrey - 70K

1336141725

Risk | 50k - 70k Annually |

Operational Risk Analyst - £65,000

An exciting opportunity has arisen for an Operational Risk Analyst at a fast-growing Financial Services firm based in their luxurious offices in the City.

The successful incumbent will have experience in Operational Risk with a knowledge and exposure of Solvency II and a background in the Insurance industry.

This is a very exciting opportunity paying a competitive market rate. For more information please send the most up to date copy of your CV to Rebecca Holly at r.holly@austinandrew.co.uk and attach your salary expectations.

Risk Executive - Surrey - £30K

1336141504

Risk | 25k - 30k Annually |

I am currently recruiting for a Risk Executive to join an International Bank in their Head Office in Surrey. This is a fantastic opportunity to work closely with the Head of Risk across the Risk Management function.

You'll be responsible for ensuring company risks are monitored, measured and reported both internally and externally, in a timely manner as well as working closely with the Credit Committee and ALCO to source credit and other relevant information. You'll be involved in performing risk and corporate governance reviews as well as collating and analysing key performance indicators.

The successful candidate will have experience working in Financial Services, ideally within a Banking environment in a credit or risk management role and have a strong working knowledge of FSA regulations. The role is paying a basic salary of upto £30,000 and comes with excellent company benefits.

If this is of interest, please send your most recent CV to r.holly@austinandrew.co.uk

Compliance Analyst (French Speaker) /Compl6175

1336121903

Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/Stockbroking | 35k - 45k Annually |

THE COMPANY:

Our client is a Brokerage Firm with exciting new growth plans. There offices are based in Surrey.

THE RESPONSIBILITIES:

Design, execution and reporting of the compliance monitoring program
Design and execution of a regulatory training program to support the customer facing teams
Support and perform country reviews to understand the operational requirements for marketing and selling of financial products
Review and evaluate the development of rules and regulations of the FSA and other regulatory bodies in the EU / EEA in order to identify potential impacts to the business
Preparation and distribution of FSA and board reports in a timely manner
Participation in the customer-take-on process in coordination with the respective credit and marketing teams
Special projects, ad-hoc duties

EXPERIENCE REQUIRED:

Relevant Compliance experience
Fluency in French essential
Financial services compliance knowledge and experience

For further information please contact Hannah Tabatabai

Information Security - Policy and Advice Manager

1335976346

Compliance & RegulationRetail General InsuranceRisk | 40k - 50k Yearly | A leading Retail Insurance Group are in looking for a Policy and Advice Manager, who will provide Information Security strategy and risk advice in the delivery of business objectives. This is a key position that combines areas of Risk Management, Fraud and Compliance support to the business framework.

Responsibilities will include:

* Participate in and contribute to ongoing IS policy review and improvement programme
* Support the development, embedding and maintenance of an effective ISO27001/2 aligned ISMS
* Participate in and contribute to IS exceptions process
* Develop and maintain processes, procedures and tools to ensure effective, repeatable risk decisions are made
* Participate in engagements with appropriate industry bodies and other organisations as required to capture best practice and thought leadership
* Support the establishment, embedding and management of an effective eCrime capability
* Ensure all activity is compliant with 3LoD, TCF, DPA and other relevant legislation
* Contribute to the management of KRI's, MI and the setting and management of risk appetite

This is a permanent position that covers a developing remit, with considerable scope for progression as part of a changing organisation. The right individual will be ambitious, keen for a challenge and possess excellent technical knowledge regarding information security policy.

Please apply now and call Andy on 0207 634 0148 for further detail.

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.

Regulatory Advice Manager

1335975737

Compliance & RegulationInsurance & RetailLife & PensionsRetail General InsuranceMortagesRetail BankingLloyds/Wholesale Insurance | 40k - 55k Annually |

About the client

One of the UK's leading General Insurer's with a strong reputation of quality brands in household, motor and general products

About the role

Promote a positive image of Compliance by maintaining high standards of technical expertise and a professional attitude, both internally and externally.
Provision of policy advice and guidance to all areas of the business in relation to FSA regulatory rules, guidance, and associated matters, including supporting relevant projects and processes, ensuring provision of business focused solutions.
Escalation in a timely fashion to the Compliance Manager, and other relevant senior management issues identified to ensure these are reported to the relevant teams, that any necessary remedial action can then be taken, and, where relevant, track any such actions to a satisfactory conclusion.
As a subject matter expert advise on appropriate remedial action following Compliance risk breaches.
Using information received, identify new areas requiring Compliance evaluation/response.
Assist in identifying impact of regulatory developments, business issues, operational failures or regulatory breaches and ensure that shared learning is cascaded across the Division.
Promote best practice in Compliance and risk management generally

What we are looking for

Financial Services experience with a preference for candidates with exposure to Insurance products
Solid FSA regulatory knowledge
Strong communication skills
Good team player

Compliance Executive-Monitoring-Oxfordshire-Asset Management

1335375460

Compliance & RegulationFund/Asset Management | 50k - 70k Annually |

Compliance Officer-Monitoring-Oxfordshire-Asset Management-£50k-£70k

This is a fantastic role working within an asset management company based in Oxfordshire. This company is currently thriving and this additional headcount is due to an increased monitoring requirement.

The role is a varied position which includes the following responsibilities:
Provide oversight and support to senior management on post trade compliance matters and business impact.
Producing and reviewing daily monitoring reports
On-going maintenance of the post trade restrictions
Examining relevant rules changes and highlighting implications for senior management
Take part in ad hoc projects as required
Identifying and monitoring compliance risk areas of the business rules and correcting for avoidance of future breaches.

The ideal candidate will be coming from an asset management background to provide a fresh perspective to the business. However other backgrounds within financial services will be considered. You will have post trade monitoring experience . You will have an understanding of investment restriction monitoring, knowledge of COLL and COBS. Understanding post trade compliance systems is advantageous. Personality wise it is essential you are a team player who is highly organised and works well under pressure. An inquisitive, challenging mind would b highly advantageous too.

To apply send your CV through to Tim Clarke at tim.clarke@eamesconsulting.com or alternatively call 0207 092 3241 to discuss this further. Only suitable candidates will be contacted due to volume of response.

Financial Promotions Officer-Investment Management-£60k-£80k

1335375441

Compliance & RegulationFund/Asset Management | 60k - 80k Annually Excellent benefits package! |

Financial Promotions Officer-Investment Management-£60k-£80k

A large Investment Management firm has a vacancy for a permanent Compliance Marketing Officer to join a team in a role focusing on Financial Promotions.

Our client is looking for compliance professionals to support senior management by taking the lead in developing policies and procedures to ensure the affective approval of financial promotions and non-financial promotion communications. You will accomplish this by monitoring and assessing the impact of regulatory developments on product ranges and becoming the point of contact for various different teams across the business. You will formalise, develop and enhance Compliance involvement in new product launches and also get involved in other aspects of compliance as required.

Requirements

Significant financial promotion experience, preferably gained in asset management or investment management but this is flexible

Understanding of product structures

Understanding of regulatory rules/initiatives

Management experience

Strong and confident communicator

Ability to work under pressure and further develop the role

To apply for this position please send your CV to Tim Clarke at tim.clarke@eamesconsulting.com or by calling on 0207 092 3241. Only suitable candidates will be contacted.