UK Jobs

Banking, Finance, Insurance

Compliance Manager

London | £80-100K/Year | Ref. VAC13845

A unique opportunity for those who are specialised in Compliance, Money laundering report and office management in financial sector.

At a London branch of an Internationally operating financial institute, they’re looking for a Compliance manager including Money laundering report and office management duties within their professional environment.

This is a perfect opportunity for those who would like to take control within their job description and to build a long-term career in this area.

 

Job description

  • Overall responsibility for the compliance arrangements and activities within the company
  • Identifying, advising and escalating where necessary potential or actual regulatory breaches.
  • Responsible for all notifications to FCA including financial reports, the complaints return, annual controllers, close links reports and any extraordinary reports to FCA.
  • Monitoring the firm’s business activities for compliance with current and changing UK compliance regulations and informing staff of relevant regulatory changes. Providing compliance counsel to all areas
  • Registration of staff in FCA Controlled Functions.
  • Monitoring and reviewing staff training and competency requirements.
  • Assessing the fitness and propriety of all FCA approved staff.
  • Maintenance of Compliance Registers including: FCA Controlled Functions, Gifts and Benefits, Personal Account Dealing and Outside Interests. Reviewing and monitoring PA Dealing
  • Conducting internal compliance reviews and producing the Annual Compliance Report for management.
  • Monitor and update the firm’s Wind-down Plan, as and when required, as per FCA requirement.
  • Supervising the Compliance Monitoring Programme.
  • Categorising, notifying and recording all new clients.
  • Ensuring operating procedures and computer systems are in line with regulatory requirements.
  • Reviewing advertising/marketing and research for compliance with FCA regulations.
  • Oversee and assign E-learning courses with third parties to staff to ensure that they are up to date with regulatory topics and maintain training record logs.
  • Investigating and reporting of suspicious and suspected money laundering transactions.
  • Producing an Annual Money Laundering Prevention Report and submitting this to management and the FCA.
  • Ensuring that all money laundering identification checks have been undertaken, and that Know Your Customer/Know Your Business checks are carried out on a regular basis.
  • Acting as a Whistleblowing Officer, responsible for reporting to FCA, Bribery Prevention Officer and Data protection officer
  • Day to day management of all settlement procedures and reconciliation of all positions
  • Management of all settlement staff
  • Reconciliation of all bank and Broker accounts
  • Liaison with all clearing houses and exchanges
  • Responsible for all treasury function for clearing accounts
  • Managing the production of management information
  • Media Tape Back Up / Archiving – ensure the media tapes are replaced – where necessary, and maintain records with OASIS.
  • Ensure procedures and job descriptions are complete and up to date
  • Appointed as the Health and Safety Officer, responsible for highlighting awareness to all staff.
  • Coordinate IT updates and oversee projects
  • Oversee office security and its alarm / system maintenance, also coordinate with office cleaners, Air Con maintenance and Fire system maintenance
  • Document / arrange all Executive Committee Meetings and Board Meetings, liaising with Vistra Company Secretary for the latter.

Requirements/Qualifications;

  • Solid experience in Eurobond settlement. Detailed knowledge in settlement operations.
  • Accuracy and attention to detail are required.
  • Knowledge in compliance area for FCA regulated institutions is preferable.
  • Good communication skills both in written and verbal.
  • Working experience within Japanese corporate is hugely advantage but not essential

Conditions

  • Salary – £80-100,000 per annum, depending on experience
  • Location – City (currently hybrid work combined with WFH and office base)
  • Other benefits available