Senior Compliance Manager
Our London based client is looking for a Compliance Manager to join their busy Compliance team. This candidate must have previous Banking experience.
* FCA procedures and policies drafting; Fitness and propriety checks; criminal/ certificate of good conduct checks; directorship checks;
* Annual assessment of SMF and Certified staff; Register and deregister SMF/CS employees on a monthly basis
* Compliance and regulatory work; Governance work; UK legislation and rules regarding HR and compliance.
* Treasury and all MiFId related aspects
* SMCR (all SMF applications, certificated staff annual reviews, management responsibilities map) as well as providing support to HR
* BCRC & CORMAC papers, reports and minutes
* BGC papers and reports, annual update on whistleblowing to BAC
* Client money
* LIBOR transition
* FCA procedures and policies drafting; Fitness and propriety checks; criminal/ certificate of good conduct checks; directorship checks;
* Annual assessment of SMF and Certified staff; Register and deregister SMF/CS employees on a monthly basis
* Compliance and regulatory work; Governance work; UK legislation and rules regarding HR and compliance.
* Treasury and all MiFId related aspects
* SMCR (all SMF applications, certificated staff annual reviews, management responsibilities map) as well as providing support to HR
* BCRC & CORMAC papers, reports and minutes
* BGC papers and reports, annual update on whistleblowing to BAC
* Client money
* LIBOR transition
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