Our client is looking to hire a Compliance Manager on a contract basis to work remotely.
- Compliance Monitoring
- Market Abuse
- General Compliance
- Undertake risk-based compliance monitoring reviews as detailed within the risk based annual Compliance Monitoring Plan;
- Assist the Head of Compliance with reviewing the overall Compliance Monitoring Plan including risk based assessment linked to overall programme
- Carry out reviews in accordance with the compliance monitoring plan as detailed in the Compliance Monitoring Charter;
- Prepare monitoring reports including findings, agreed actions for key stakeholders, covering monitoring exceptions and progress within the monitoring plan;
- Assist the Head of Compliance with the preparation of management information reports to governance committees, highlighting any specific high-risk areas, management of actions and progress against the compliance monitoring programme;
- Maintain awareness of global regulatory developments with regards to all activities including the business Horizon Scanning Tracker
- Assist the Head of Compliance with the oversight and completion of all FCA regulatory returns, including preparing and monitoring a business wide timetable of regulatory reporting and notification tasks;
- Maintain regulatory logs and associated Market Abuse control lists in relation to all Core Compliance Activities as detailed in the Compliance Procedures Document;
- Assist the Head of Compliance with the review of Compliance and Financial Crime policies and procedures;
- Review, maintain and keep the Compliance Procedures Document up to date including setting of appropriated any monitoring schedules Identify risks in own area of responsibility, recognise risks in all areas of the business and notify any such risks to your People Manager
- Assist the Head of Compliance as required with the review of recommendations from the Financial Crime Risk Assessment and MRLO report
Experience - Essential
- Generalist experience in a regulatory role
- Relevant experience of effective monitoring of compliance and financial crime risks gained at investment managers or asset manager.
- Extensive experience of Core Compliance Activities in relation to; personal account dealing, gifts and hospitality, client complaints, financial promotions and market abuse monitoring.