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