My client is a reputable buy side firm with a global presence. Well established yet continuing to grow, this hire has been created to support new growth in London and abroad.
This is a broad role that will suit someone with 4-5 years' of compliance experience with knowledge of buy side processes. Previous Banking/Capital Markets coverage would be highly beneficial in this role given the direction of business growth.
Duties will include:
- Work alongside the business in advising on regulatory matters, providing guidance on regulatory frameworks and assisting the business with management of compliance risks
- Ensure that the monitoring programme is carried out on a timely basis
- Assist in planning and implementing changes to monitoring, the department's general work and changes across the wider business to ensure that the firm continues to meet the requirements of new regulations
- Utilising and demonstrating your regulatory knowledge and experience by providing proactive interpretation and guidance in regards to compliance issues affecting the Support the MLRO with the implementation of the Firm's AML procedures, systems and controls.
- Conduct annual compliance reviews
- Coordinate mock audits with compliance consultants as and when required
- Provide written reports to various boards / committees / senior management and stakeholders
- Work closely with IR team to ensure compliance with all relevant statutes and regulations
- Ensure compliance with all relevant overseas regulations
- Produce and deliver training on key policies and procedures
- Ensure procedures are kept up to date
- Managing conflicts and escalation process
- Administrating quarterly and annual certifications
The successful candidate will be highly motivated, proactive, intelligent, and have demonstrated excellence in prior endeavours.
The successful candidate wil possess the following:
- 5+ experience in a compliance role in a financial services, private equity or qualified regulatory lawyer with 1-2 PQE
- An undergraduate degree is required
- Demonstrated ability to write effectively
- Superior organisational skills
- Strong communication skills
- Sound knowledge of FCA rules and regulations and ability to apply those to the business
- Experience within the Banking/Capital Markets compliance department is preferable