Compliance Manager - Maternity Cover

Centre People
City Of London, London
17 Jul 2017
16 Aug 2017
Contract Type
Full Time

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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