Compliance & Legal
|Salary:||£35000 - £40000 per annum|
|Job Published:||about 2 months ago|
Immediate opportunity to join a prestigious West End based financial institution.
- Develop and implement a risk-based Compliance Monitoring Programme. Perform periodic monitoring, thematic reviews and transaction surveillance. Escalation, recording and remediation of issues identified from the monitoring.
- Work with team members to identify Compliance risks and to assist with the design and implementation of effective controls.
- Collate and produce Compliance management information to identify areas of improvements in the control framework.
- Assist with the development and implementation of each Compliance Framework (i.e. best execution, market abuse, CASS, conflicts of interest, inducements, post-trade transparency, financial promotions, client communication, regulatory reporting and regulatory capital).
- Assist with the preparation and the drafting of responses to regulatory enquiries.
- Attending member of the Quarterly Best Execution and CASS committees. Represent Compliance in other committees and working groups as and when required.
- Work with the team to draft SMF and Board reports for senior management and the Group.
- Assist in the training of staff to ensure Compliance competence in relation to the firm's applicable regulatory system.
- Assist the business lines in projects or other work to provide Compliance deliverables.
- Any other duties which may be required consistent with your role.
- To be aware, understand and be apprised of the rules and regulations applicable to the role and internal policies and procedures.
- Be aware of your obligations in preventing being used to further financial crime, in particular money laundering, terrorist financing, bribery and corruption and market abuse and to report any suspicions or suspicious activity to the Money Laundering Reporting Officer or in their absence, the Deputy Money Laundering Reporting Officer or the relevant Compliance Officer.
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