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Senior Compliance Manager

DSR Global
Closing date
7 Jul 2022

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Contract Type
Full Time
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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
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