THE COMPANY:
Our client is a global banking group, offering Corporate/Private Banking and Asset Management services in the UK market. They are looking for a Compliance Officer, who must have Asset Management generalist/monitoring experience.
THE RESPONSIBILITIES:
1. Compliance Monitoring Programme: Conduct regular compliance reviews to ensure adherence to regulatory requirements and internal policies.
2. Monitor and assess the effectiveness of compliance controls and procedures.
3. Identify and report compliance risks and issues and recommend corrective actions.
4. Develop and implement compliance monitoring plans and schedules.
5. Providing support for compliance monitoring reporting to the Business Risk Committee, the Board and the Audit and Risk Oversight Committee.
6. Assisting with preparing and submitting necessary reports to Group Compliance.
7. Assist with overseeing third party providers including risk assessment and SLA monitoring.
8. Identify and escalate any significant regulatory issues to the Head of Compliance & MLRO.
9. Maintain up to date knowledge of relevant laws, regulations and industry standards.
10. Assisting in the development and maintenance of Compliance desktop procedures.
11. Strive to act in line with the target culture including values, behaviours and D&I, promoting a strong compliance culture within the Business.
12. Read and understand relevant policies and processes.
13. Adhere to relevant rules and regulations and Board approved Risk Appetite Statement and agreed limits.
14. Speak up, raise breaches and issues.
15. Complete mandatory training on time.
16. Maintain personal development plans, and leverage industry associations to keep up to date with market best practices and new regulatory requirements.
17. Represent Compliance on relevant governance committee(s) as required.
18. Undertake ad hoc projects as required.
EXPERIENCE REQUIRED:
1. Relevant compliance or investment management certificate or diplomas desirable.
2. General experience (around 5 years) in a compliance monitoring role working for a UK regulated investment management firm.
3. Comprehensive understanding of regulatory and/or compliance matters which impact the investment management sector.
4. Experience of using ISS Liquid Metrix and Bloomberg Vault an advantage.
5. Sound knowledge of regulatory requirements and industry standards.
For further information please contact Spencer Evans.
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