Central Compliance Contractor
Contract to Permanent Opportunity - Core Compliance working for top exchange business in the city
The Specialist, Core Compliance will be responsible for supporting the following activities:
Risk Assessment: Manage the process for undertaking compliance risk assessments across the business. Document the outputs of the assessments and work with the business on developing remediation plans to mitigate regulatory risks where required.
Monitoring: Undertaking compliance monitoring in respect of the core compliance risks of the business. Carry out ad hoc risk based reviews and help the business to devise and close out on corrective action plans. Identify policy breaches and provide appropriate reporting to management.
Policy management: Supporting the management of compliance policies and the policy governance across the Group with Core Compliance colleagues.
Controls: Review and ensure that Compliance controls are fit for purpose and address the regulatory requirements.
Training: Maintain an appropriate regime for new joiner induction training and ongoing compliance training for all staff; deliver ad hoc compliance training on new initiatives as and when required.
Major regulatory projects: Participation in major regulatory projects that have a business impact, ensuring that changes are appropriately embedded in the business. Ensure effective implementation of all new compliance policies.
In order to assist with the above technical compliance knowledge in some of these areas would be an asset in supporting the Head of Core Compliance:
EMIR Dodd-Frank: Knowledge of the EMIR and Dodd-Frank Core Principles
Financial Crime: Knowledge of Anti-Money Laundering, Sanctions and requirements including KYC, SAR management, PEP screening and sanctions compliance.
Data Protection: Knowledge of UK and European data protection and security obligations.
Anti-Bribery and Corruption: Knowledge of UK Bribery Act, the US Foreign Corrupt Practices Act and implementation of appropriate procedures for managing bribery risk.
Market Abuse and Insider dealing: Knowledge of the market abuse and insider dealing regimes in order to support the business and compliance in managing the relevant risks.
Previous experience in core compliance is essential - fantastic opportunity to develop in the role as a contractor before hopefully accepting the permanent role.
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