Assistant Manager - Compliance (In-house)

Marshall Walker Limited
United Kingdom
Up to £50,000 basic salary + benefits
08 Oct 2017
07 Nov 2017
Contract Type
Full Time
The Position Our client, a boutique financial services firm, has a rare opportunity for a Compliance Assistant Manager to join them in London. As part of the wider compliance, this role has been created to assist the Head of Group Compliance in the day to day management of the Compliance function. Main Responsibilities - To provide guidance and assistance to staff in the location by applying the company's Risk and Compliance Framework. - In conjunction with the Managing Director maintain the local Business Risk Assessment. - Maintain the Risk and Compliance registers as required by the firm and local legislation. - Monitor the local Regulator and other Competent Authorities to identify potential changes to legislation or other regulatory requirements and escalate these to the MD and Head of Group Compliance. - Assist the MD and Head of Group Compliance to liaise with the Regulator and ensure that all interacts are properly documented and retained. - In conjunction with the MD and Head of Group Compliance maintain the local Regulatory Mapping Gap Analyses and highlight any future issues. - In conjunction with the MD and Head of Group Compliance maintain the Compliance Monitoring Plan. - Sign off the adequacy of CDD accompanying new business documentation to include the maintenance of Compliance records. - Process Sanctions Notices as required. - Undertake the tasks programmed in the Compliance Monitoring Plan in a timely manner. - Collate information and assist with the preparation of reports to provide key information to both the board and Group Risk and Compliance on a monthly basis. - Undertake relevant ad hoc project work as required. - Assist in the training of staff where required including Induction training. - Carry out any relevant function/activity required by the Head of Group Compliance from time to time. Your Profile Ideally, the client is looking to meet candidates who have 3-4 years relevant compliance experience at this level. The preference would be for compliance experience gained within the financial services space, but this is not essential. Strong attention to detail is a must. The client will expect you to have a strong record of academic achievement.
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