Compliance and Risk Specialist

Office Angels Exec
United Kingdom
£45000 - £60000 per annum
30 Sep 2017
03 Nov 2017
Contract Type
Full Time

Compliance and Risk Specialist


Our client a well known Financial company are looking for a Compliance and Risk Specialist to join their team in London

The successful candidate will have an opportunity to be involved in other aspects of the business as it grows.

Key Responsibilities

  • Developing and enhancing the company's compliance culture
  • Managing and overseeing annual and monthly compliance monitoring programme
  • Ensuring all government and regulatory filings in relation to the company and its subsidiaries are completed in a timely manner
  • Undertaking ad hoc compliance monitoring projects as and when required
  • Attendance at monthly Compliance and Investment Committee Meetings
  • Dealing with personal account dealing requests
  • Reviewing and approving financial promotions
  • Overseeing the daily Client Money reconciliations to confirm FCFM Group remains compliant with CASS 6 and 7 by ensuring Client Money/Custody Assets are reconciled and segregated appropriately
  • Ensuring that the organisation is compliant with both internal and external polices and regulation
  • Training staff on company policies and procedures
  • Identifying business risk issues and proactively promoting possible solutions to manage any residual risks
  • Identifying material operational risks, assess the effectiveness of control design, changes and ensure that any control gaps identified are managed until closed within a timely manner
  • Input on development and implementation of standards and policies appropriate for the company that conform to the principles and policies established by Risk Management
  • Provides a wide range of human resources support in the areas of employment, compensation administration, employee relations, training and education, payroll practices and processes, leave and time administration, personnel records management, and performance management
  • Recommends and implements enhancements to current departmental human resources processes, procedures, and programs in areas including, but not limited to: employment, hiring, and onboarding of staff and faculty; compensation administration; leave administration; employee relations

Ideal Candidate

  • Solid experience working in the Compliance and Risk field, ideally in Real Estate/Private Equity houses
  • Experience with general FCA reporting
  • Knowledge of AIFMD, MIFID II, and CRD IV
  • Experienced in developing and supporting line managers through change
  • An ability to maintain confidentiality and act with discretion and diplomacy is crucial
  • Self-motivated and able to work under own autonomy or as part of a team
  • Knowledge of market conduct, rules and filing requirements

Advertised by OA Executive. Please note that due to a high volume of response OA receive; only successful candidates will be contacted for the purposes of the Regulations, please note that Office Angels in the provision of these services will be operating as a recruitment agency. Office Angels are an equal opportunities employer

Office Angels is acting as an Employment Agency in relation to this vacancy. The Adecco Group UK & Ireland is an Equal Opportunities Employer.

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