Reporting to:Chief Compliance Officer
" Managing Conduct Risk in accordance with FCA regulatory obligations such as found in COBS and SYSC
" Active in Compliance Monitoring programs in the UK and Branches
" Financial Promotion Review and Management
" Analyse existing processes, identify gaps and suggest improvements
" Assist with drafting core compliance documents such as Compliance Manual, PA Dealing policy
" Promote a compliance culture across the business
" Delivering compliance related training and assisting with general training and competence issues
" Reviewing updates from FCA, JMLSG, HMRC, ESMA, FATF and other relevant authorities
" Producing MI and Reports for the Board and committees as well as attending appropriate meetings where required
" Automate and streamline current processes wherever possible to improve reporting analysis and timeliness
" Identifying existing and emerging regulatory and compliance risks and ensuring they are appropriately managed
" Providing compliance advice and day-to-day guidance on regulatory reporting and monitoring issues
" Provide ongoing periodic monitoring and comprehensive testing for adherence to Regulatory Compliance requirements.
" Assess compliance with and adherence to regulations, internal policies and procedures and evolving regulatory standards.
" Gather information and prepare responses to enquiries from the FCA and/or other regulatory bodies or law enforcement agencies. Draft and coordinate responses to the Financial Ombudsman Service.
" Compliance monitoring of MiFID and EMIR transaction reporting.
+44 (0)1580 715 111