Compliance Manager

Recruiter
MCGREGOR BOYALL ASSOCIATES LIMITED
Location
London, UK
Salary
Competitive
Posted
13 Sep 2019
Closes
17 Sep 2019
Ref
1259387855
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Key Responsibilities:
  • Preparation and maintenance of Compliance Assurance Plans (CAP), Compliance Monitoring Plans (CMP) and Compliance Risk Assessments (CRA) in conjunction with the teams responsible for the provision of Compliance Advisory support to each of the respective venues / platforms.
  • Delivery of CMP and tracking to resolution of remedial actions identified in the course of reviews performed.
  • Identification of requisite management information (MI) required from the business teams supporting each of the venues / platforms to enable refinement of CAPs, CMPs, and CRAs with a view to ensuring any assessments made are objective rather than subjective.
  • Provision of MI to R&C Advisory teams, R&C and UK Regulation team management an senior management as appropriate to: promote understanding of the Compliance Framework implemented within R&C; demonstrate progress in delivery; and ensure appropriate escalation of any findings / issues.
  • Tracking of any changes to licensing / authorisation requirements in those jurisdictions where the provision of services to members triggers local obligations; communication of any such changes to the R&C team as appropriate; provision of any data to overseas regulators as required to support ongoing licensing / authorisation.
  • Support for the appointed Risk Champions in the team in provision of quarterly reporting to Operational Risk on behalf of UK Regulation respectively.
  • Support for the implementation of a means of tracking regulatory change within the R&C team.


Key Skills
  • Degree level education or equivalent.
  • Experience of working within the financial services industry - trading venue experience would be preferable but is not essential.
  • Demonstrable understanding of, and practical experience in, delivering a Compliance Framework.
  • Proficient in use of MS Office, specifically Outlook, Word, Excel and PowerPoint.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

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