Compliance Professionals
Compliance Officer
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THE COMPANY:
Our client is a global corporate banking group with offices based in the West End. They are looking to hire a Compliance Officer to play a pivotal role in supporting the business through the delivery of second line monitoring.
THE RESPONSIBILITIES:
- Contributing to the development and execution of the annual Compliance Monitoring Programme (‘CMP’), testing compliance against FCA, PRA and US Securities and Exchange Commission rules.
- Conducting second line of defence monitoring reviews as detailed within the CMP, including the scoping, planning, testing and reporting.
- Conducting market abuse monitoring for our asset management business.
- Liaising with stakeholders for each review allocated in order to facilitate the necessary access to people, systems and records to enable testing to be conducted in a timely manner.
- Discussing with the business where actions are required to enhance processes, procedures, practices and controls to ensure the firm remains compliant.
- Reviewing surveillance output, including conducting surveillance analysis of trading activity, e-comms and voice.
- Preparing regular, timely, relevant and concise reporting on the findings for management and relevant oversight committees.
- Monitoring actions arising from the compliance monitoring activities to their conclusion, ensuring that the business has taken all action required of them to mitigate further issues.
- Identify and escalate any significant regulatory issues to the Head of Compliance & MLRO.
- Assisting in the development and maintenance of Compliance policies and procedures.
- Promoting a strong compliance culture within the business.
- Supporting the wider Compliance team and undertake ad hoc projects as required.
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EXPERIENCE REQUIRED:
- The candidate will have gained general experience (at least 5 years) in a compliance role in an asset management business and have experience of conducting second line monitoring activities.
- They will be able to demonstrate a comprehensive understanding of regulatory and/or compliance matters.
- Proven experience in a role engaged in a regulatory environment that involved translating rules and principles into practical monitoring of the business.
- Ability to assess the impact and relevance of issues and articulate them in a clear and precise manner.
- Strong communication skills with the ability to work as part of a small team, strong attention to detail and a willingness to learn and develop skillset.
- Ability to build strong and effective working relationships with stakeholders at all levels.
- Working knowledge of third-party vendor systems (i.e. Bloomberg, ISS LiquidMetrix).
- Must possess initiative and judgement and the ability to prioritise conflicting demands.
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