Compliance Manager - Maternity Cover
City bank seeks a Compliance Manager to cover a maternity absence from August 2017 - February 2018.
Responsibilities to manage the day-to-day running of the compliance operations:
- Manage a hoc issues related to compliance
- Liaise with external auditors, advisers and internal auditors (Tokyo office) and provide necessary information.
- Prepare response to various compliance related correspondence received by both the Managing Director and Compliance Officer.
- Manage all compliance monitoring as per checklist and review any checks implemented.
- Manage the review and preparation of company documents i.e. Compliance Manual, broker documents, Portfolio Management Rules, and AAF01/06 & ISAE 3402 report.
- Manage the implementation of new regulatory rules.
- Manage the day-to-day administration of compliance records i.e. FCA Annual Controllers Report, Financial Returns, etc.
- Maintain and manage authorised broking/terms of business procedures.
- Maintain and control the management of FX broking lines.
- Manage Hi-Portfolio compliance rule set-up for new and existing accounts.
- Prepare and conduct compliance induction for new personnel.
- Maintain and manage personnel records in accordance with FCA regulations including registration of approved persons.
- Manage, supervise personal account dealing transactions and report to Managing Director.
- Manage regulatory training for all personnel via company training platform.
- Review new client agreements and carry out any related work to effect agreed funding date.
- Review service provider agreements for related risk content.
- Review amendments to existing account agreements to implementation.
- Manage client files in accordance with FCA regulations.
- Maintain and manage client records to include guideline breaches, complaints and termination.
- Manage and supervise new GIPS disclosure rules reporting to Tokyo head office.
- Manage compliance sign-off of all marketing materials.
- Manage ad hoc projects to effective implementation i.e. mail monitoring, training platform.
- Assist in the management of ad hoc Administration and HR requests i.e. office relocation, recruitment consultants etc.
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