Compliance Manager - Remediation - London - £600 per day - City

London (Central), London (Greater)
£400 - £600 per day
28 Feb 2014
28 Mar 2014
Richard Twumasi
Contract Type
Full Time

Compliance Manager - Remediation - London - £600 per day - London

Keywords: Compliance Manager, Consultant, SME, Remediation, CASS, PRA, FCA, Prudential Regulation Authority, Financial Conduct Authority, regulatory, AML, Legal & Compliance, Conduct of Business, Dispute Resolution & Complaints, Systems & Controls, Market Conduct, COB, DISP, SYSC, MAR, FCA, Financial Conduct Authority, Brokerage, MTF, Exchange, Financial Services, Broker, Multilateral Trading Facility

An opportunity has arisen at a FCA regulated brokerage/exchange for a Compliance Manager on a 3 month contract to join their Legal and Compliance Division.

In this role you assist on the day to day delivery of compliance advice to the business and the efficiency of the firm's compliance related processes while the business is in its remediation phases.

In this role your duties and responsibilities will include:

  • Key point of contact for the function and provide technical knowledge and experience to the business
  • Provides compliance advice and guidance on all CASS and Transaction Reporting Issues
  • Recognises the unique regulatory risks and mitigating actions that banks and stockbrokers face, such as from relevant legislation, the PRA and FCA Handbooks, and appropriate industry guidance; and recognise the firm specific context and regulatory risks that the firm faces;
  • Ensures that all relevant regulatory risks are considered using a risk based methodology;
  • Assists the Head of Compliance to embed the principles of soundness and safety, and of good consumer outcomes, within the firm in order to demonstrate that the firm can continue to meet its Threshold Conditions;
  • Helps develop an appropriate suite of key compliance performance / risk indicators suitable for various stakeholders including the Head of Compliance, the firm's Executive Committee, and the Board;

The successful candidate will have the following skills

  • 5 years' experience in a senior compliance position
  • Experience working in a compliance role for an Online Bank, Online Brokerage, Investment Banking, Professional Services or a Law firm
  • Experience of developing and implementing compliance policies and procedures
  • An in-depth knowledge of applicable UK and EU financial services legislation,
  • Forward looking pragmatic approach to solving regulatory and business issues
  • Good understanding of the financial services, stockbroking, or banking sectors

Richard Twumasi

Harrington Starr

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