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Compliance Generalist - Boutique Investment bank

Holmes Search
London, UK
Closing date
29 Jan 2021

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Job Details

  • Day to day responsibility for know-your-client process including escalating, discussing and resolving relevant AML, CTF & Sanction/PEP concerns with the MLRO;
  • Assist and manage the compliance monitoring activities across the European offices including carrying out detailed reviews and ensuring the proper investigation and analysis of potential breaches are documented and escalated accordingly, including keeping an up to date actions log;
  • Assist with the preparation of management reports, including, compliance

reports, MLRO reports and annual risk assessments;
  • Assist with the preparation of regulatory filings (including financial crime data return);
  • Assist with updating and enhancing compliance manuals, policies and procedures and being responsible for ensuring the Compliance Procedures Manual is up to date;
  • Assist with approvals, oversee the maintenance and accuracy of Compliance registers (including Complaints, Data Breaches, Watch Lists, PA Dealing, Training, G&E, Breaches, Financial Promotions, Approved Persons) and actively monitor and escalate trends to the Head of Compliance & Legal Counsel, Europe;
  • Assist the Head of Compliance & Legal Counsel, Europe with managing the content and training of associates;
  • Managing and overseeing the new joiner process for all new staff including inductions and attestations;

Monitor regulatory changes which may impact the firm and, together with the Head of Compliance & Legal Counsel, Europe, assist in implementation projects as required, including updating internal policies and procedures, providing training and relaying updates to business stakeholders
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