Senior Compliance Manager
The London-based Compliance Team creates, develops, implement, monitor and manage the firm's procedures, key controls and policies to seek to ensure that the firm's control, risk and governance structures are adequate
Key RESPONSIBILITIES: ·
Identify regulatory risks, gaps or breaches and support, advise upon and manage the implementation of new or enhanced control amendments for new services or products, in conjunction with new legislative or regulatory initiatives such that the firm continues to meet its regulatory requirements and also in order to enhance the firm's control structure. ·
Monitor regulatory and legislative developments and make recommendations on changes to seek to ensure that new developments are appropriately reflected in the firm's control structure and business operating practices· Seek to ensure that all requirements, changes, compliance policies, procedures and initiatives are effectively communicated and implemented within the firm.·
Provide effective and timely compliance and monitoring management information for senior management and the board· Provide regulatory support including guidance to assist the business. ·
Seek to build positive, productive working relationships with stakeholders such as compliance team colleagues, business management and regulatory bodies.·
Assist in the development and maintenance of regulatory training.· Represent the firm at appropriate compliance and other forums, reporting back and disseminating information where appropriate.·
Execute and assist with risk assessments as well as thematic and desk reviews as part of the department's monitoring programme.· Assist compliance and the business with regulatory investigations and projects.· Ad hoc other compliance tasks or projects as assigned.
EXPERIENCE REQUIRED FOR THE ROLE:·
Significant compliance experience.·
Adequate knowledge of FSA Regulations (in particular knowledge of SYSC, COBS and/or CASS is an advantage) and European legislation.·
Monitoring experience (including review, testing and prioritisation) is helpful.· Broad knowledge of financial markets and expertise in major product areas and financial services is useful. In particular, asset management or platform service provision knowledge (or from comparable sectors e.g. investment banking) would be beneficial.·
Please contact Fergus Hooley
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