Compliance Manager
Apex Group Ltd London, United Kingdom Apply now Posted 12 days ago Permanent Competitive
Compliance Manager - Depository and Custody Compliance
Reporting directly to the UK Head of Depositary and Custody Compliance, you will help drive the compliance function, develop and implement a risk-based compliance management framework, assist with the management of compliance risk and oversee all regulatory compliance matters across the Depository and Custody businesses within the Apex UK Group of Companies.
Essential experience: UK depositary or custody FCA rules
Key Responsibilities:
* Assist the UK Head of Depositary and Custody Compliance to:
o develop and implement the risk-based compliance framework;
o develop and implement the risk-based compliance monitoring programme;
o prepare and present reports on compliance and regulatory issues for senior management, including board reports and the collation of management information as required;
o respond to enquiries and information requests from regulators, auditors or clients;
* Advise senior management on regulations and policies which affect the business;
* Keep abreast of industry and regulatory developments, thematic reviews and enforcement actions;
* Represent Compliance in various management and project meetings, committees and new business initiatives;
* Support the wider Apex compliance team on Group initiatives and areas of common interest;
* Establish and maintain good relationships with key stakeholders within the Apex Group and externally as applicable;
* Liaise with external parties such as auditors, regulators, industry bodies and clients;
* Create and maintain local compliance procedures and policies;
* Develop and deliver appropriate compliance training to Board members and employees;
* Prepare/review RegData/Connect reports for submission;
* Assist in business and client queries related to FATCA/CRS & support with submissions;
* Respond to ad-hoc requests received in the compliance inbox such as external due diligence questionnaires;
* Manage and support team members and allocated staff.
What you will get in return:
* A genuinely unique opportunity to be part of an expanding large global business;
* Competitive remuneration commensurate with skills and experience;
* Training and development opportunities.
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