Senior Compliance Manager

Charles Levick Limited
London (Greater)
14 Apr 2018
16 May 2018
Contract Type
Full Time

Senior Compliance Manger

My client, an Online Trading firm, are looking to recuit a Senior Compliance Manger to ensure that the company is fully compliant and adheres to each and every compliance activity accordingly.

Key Responsibilties:

* Responsible for the complete and accurate provision of reporting regulatory information required both on an internal and external basis.
* Ensure monitoring to assess the company's compliance with FCA regulatory requirements, specifically organise and assist with the Compliance Monitoring Programme.
* Responsible for ensuring that the TCF policies and procedures are accurate and updated regularly.
* Ensure the implementation of and ongoing adherence to Financial Crime Controls including procedural reviews, transaction monitoring and monitoring the tasks delegated to 3rd party administrators.
* Assisting the preparation of management information as required.
* Responsible for the management of screening against the sanctions lists and other required data sources.
* Effectively deal with any complaints raised by any client, report and manage accordingly. Ensure that complaints register updated accordingly.
* Work with financial controller to ensure that all reports requiring submission to the FCA are done so in a timely and accurate manner.
* Organise training for staff, ensuring that they are FCA registered.
* Give consideration to the wider professional development and career aspirations of all Compliance team members.
* Keep up to date and be pro-active in implementing new policies and procedures or updates to staff in a timely manner, providing training where necessary.
* Ensure compliance reporting to NCA is done as required and is correct, accurate, investigated and closed in a timely manner.
* Ensure that all compliance activity is accurately recorded * Continuously reviewing and maintaining systems to identify and record regulatory breaches.
* Maintain as far as practically possible a close working relationship with relevant regulatory bodies.
* Assist in the management of the Compliance Team across all company locations.
* Responsible for the maintenance of the company's Compliance Handbook.
* Delivery of expert technical and regulatory support to the Executive team as needed to enable them to make future facing decisions and achieve strategic goals within the relevant regulatory framework.
Required Skills & Experience:

* A management or finance degree.
* At least 3 - 5 years' experience in a Compliance Team in a similar organisation and/or Retail Bank.
* Significant and demonstrable Financial Crime experience.
* Able to communicate at all levels both verbal and written.
* Fully aware and up to date of compliance, money laundering and all other trading related processes and procedures.
* Can communicate advanced technical Compliance information in a clear, easy to understand manner.
* Experience of leading a team and can manage, motivate and develop their staff in a demanding environment.

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