Compliance Associate Director recruitment
Compliance Associate Director required by a leading Investment house in London to provide compliance assistance and advice to ensure that the Company complies with the regulatory requirements placed upon it by the FSA and other relevant regulatory bodies, and with all other appropriate authorities and law, through the effective provision of advice, monitoring and support to the business and the Compliance Manager.
Responsibilities:
Providing assistance and support to the Compliance Manager in carrying out the FSA Controlled Functions 10 and 11 for compliance and money laundering oversight. Specific responsibilities will include:
• Taking responsibility for aspects of the firm’s monitoring programme, covering both compliance and control (internal audit) reporting.
• Further refining the firm’s existing monitoring programme and working proactively with the business and the IT Department to further develop the risk based monitoring tools used to assess the firm’s compliance, including automating such processes where possible.
• Identifying and investigating potential regulatory issues and breaches, then facilitating and documenting their resolution, in preparation for management reporting.
• Assisting in the development and maintenance of the firm’s policies and procedure manuals.
• Reviewing the production of Research publications prior to publication, and redacting them when required.
• Reviewing regulatory developments to assess and report on the potential impact to the firm and its wider industry group.
• Providing advice and guidance to the business regarding compliance with regulatory and internal standards.
• Helping to coordinate regulatory training programmes for the various business lines within the firm.
• Maintaining required regulatory records, registers and filings.