Compliance Executive required by global market leading financial services firm based in London
The role has been created to represent the Compliance function in the UK office to assist the CCO in achieving the Compliance Work Program and promoting critical ethical standards to ensure the achievement of the objectives of all compliance programs across the client.
Key responsibilities:
• Monitor and report results of all compliance, ethics and supervisory related efforts of the client
• Provide guidance to the client and their Board on matters relating to Compliance. This will include assessing compliance risks and implementing guidance on the implementation of compliance program, as well as tracking remedial actions required to address compliance issues across the client.
• Oversee and manage the Corporate Compliance and AML compliance programs and Supervisor the affairs program with the clients lead regulator, the FRBNY.
• From a strategic perspective identify key applicable laws and regulations
• Develop, maintain and implement policies and procedures for the general operation of all compliance programs to prevent any illegal, improper, or unethical conduct and periodically review and update the Standards of Conduct to ensure continuing relevance in providing guidance to the management and employees
• Identify potential areas of compliance that are vulnerable and at risk. This will then require the development/implementation of corrective action plans for resolution of any problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future
• Collaborate with various departments to direct compliance issues to appropriate existing channels for investigation and resolution
• Respond to any violations of rules, regulations, policies, rules procedures, by conducting investigative procedures
• Provide regular reports to keep the Board and senior management informed of the operation and progress of compliance efforts
• Monitoring the performance of Compliance Programs and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness
Key skills
• 5+ years Compliance experience
• Strong academic and professional qualifications background
• Broad experience of dealing with a range of issues within the compliance space, such as AML, experience and knowledge of working with the FSA etc
• Strong leadership qualities and able to deal with senior internal and external stakeholders
Salary: Circa £90,000 + bonus and benefits
For further information please contact Ryan Edwards-Pritchard on +44 (0)207 332 0300 OR forward an up to date CV to ryan.pritchard@dbfs.co.uk.
Leave a Reply
You must be logged in to post a comment.