Mackenzie Scott


	Compliance Analyst £35,000 - £45,000 Ref: 10548 Central London Well established Asset Management firm who due to expansion are seeking to recruit an additional Compliance Analyst to support the Head of Compliance. Duties will include assisting the compliance team in ensuring that risks are managed effectively, carry out analysis of areas of the business concerned with the management of client assets to ensure risks are identified, keep up to date with regulatory developments and update procedures, carry out monitoring to ensure compliance with regulatory requirements relating to conduct of business, client assets, client money, market conduct, terms of reference with third party service providers and anti-money laundering. Some previous Compliance experience gained within the discretionary fund management industry is required. Claims Handler – Financial Crime Up to £20,000 Ref: 10585 Bristol UK leader in Financial Services are seeking to recruit a Financial Crime Analyst to investigate a portfolio of suspected financial crime claims and provide technical advice to members of the staff within the financial crime team. Duties will include day to day investigation of Financial Crime Claims including litigation and liaison with underwriters and suppliers, investigate linked and organized financial crime rings, compile and deliver fraud awareness training, identify & pursue potential recoveries, complete quarterly claims validation audits identifying any leakage or trends and highlighting any coaching issues, preparation of evidence packages to law enforcement and attendance in court as a witness and preparation of submissions for FOC complaints. Experience in a Compliant Handling role or Fraud Investigation is required. Head of Policy – Investment Bank £100,000 - £110,000 Ref: 10575 City of London Large International Investment Bank are seeking an experienced Compliance Manager to head up the Policy & Development team. You will have overall responsibility for leading the firms approach to regulatory policy, providing and communicating a group wide view on key policy issues with the aim of ensuring consistent policy standards across all Divisions and Group Functions, advise the business on new areas requiring new or updated policies, manage the Policy team to achieve the individuals maximum potential, provide senior level input on regulatory projects, develop and maintain effective relationships with Regional and Divisional regulatory risk teams, act in an advisory/consulting role and oversee the delivery of risk projects and initiatives. The ideal candidate will have a strong Compliance background ideally in Wholesale Banking, together with leadership skills and the ability to influence at senior level. Regulated Complaints Investigator £28,000 Ref: 10489 Manchester Leading IFA is seeking to recruit a Complaints Investigator to join the Complaints Team, with particular emphasis on Investment and Pension business. Duties will include carrying out investigations into referred complaints, provide appropriate responses in a timely and effective manner, liaise with the Risk team to ensure all risk are being considered, make sound judgments on the outcome of the complaint with an emphasis on “Treating Customers Fairly”, liaise with the Financial Ombudsman to resolve the complaint, keep the complaints database up to date and produce MI reports. Experience in a similar role required. Fraud Manager £45,000 - £50,000 Ref: 10580 Northampton An experienced Financial Crime Manager with transactional fraud experience is sought to oversee the Financial Crime Operations at this leading Retail Bank. You will be responsible for managing 5 direct reports and be accountable for the execution of strategy and policy for the Online and Telephony direct channels of the business, reducing associated fraud losses. Providing leadership to the team you will translate business objectives into clear performance targets, maximising the effectiveness of the team. Be responsible for the end to end customer experience of fraud delivery and make risk decisions within delegated limits. Ensure the delivery of MI and manage budgets, reducing costs via operational improvements. Participate in regular liaison with 3rd parties and other Group areas to drive process improvement. Fraud experience within a Financial Services organisation is essential. Monitoring Manager £45,000 - £50,000 Ref: 10525 Wiltshire Our client is a brand leader and well known Financial Services company. They are seeking to recruit an experienced Compliance professional to manage the Monitoring team. You will be responsible for ensuring the Risk based monitoring programme is being carried out effectively to ensure the firm is meeting its regulatory obligations and the company’s controls and procedures are being met, identify areas of weakness and recommend improvements, mentor and train the team to maximise potential, oversee investigations and themed visits and keep up to date with regulatory changes to ensure these are incorporated into the monitoring programme. The ideal candidate will have experience in a monitoring role, good leadership skills and COB’s knowledge covering Life, Pensions and Investments. Financial Promotions Officer £33,000 - £37,000 Ref: 10561 Reading A UK leading provider of pensions, protections, investments and wealth management are seeking to recruit a Financial Promotions Officer within their Legal and Compliance team. You will be responsible for ensuring all marketing materials, financial promotions and client facing materials meet company and FSA requirements and providing feedback and advice on proposed products, initiatives or marketing items. You will also have to allocate approval and shelf life time lines to agreed documents and keep up-to-date records of these documents. Occasionally you will be required to produce or assist in producing regular statistics related to all financial promotions and provide a monthly overview of activity. A good understanding of Life and Pensions and a broad knowledge of FSA rules and regulations and Rules and Guidance in respect to Financial Promotions is essential. Compliance Consultant – Life & Pensions £35,000 - £40,000 Ref: 10523 Essex A leading Financial Services organisation is seeking a new Consultant to join its Compliance team, with responsibility for risk management and implementing compliance policies. A vital role to the business, this is an interesting and varied job, covering various Compliance aspects including to ensure that Compliance mechanisms and action plans are in place, assisting in the communication of key compliance issues and ensuring that all the relevant people are informed of any emerging or existing key risks. You will be auditing the quality and quantity of the sales T&C scheme, delivering compliance training including providing induction training for new joiners, providing feedback and coaching in relation to learning needs and file checking regarding technical competency and quality of documentation. You must have full FPC and at least 2 years Compliance experience, preferably working for a product provider. Excellent people skills – communicating and influencing especially - are essential for this role. Compliance Assistant (Mortgages) £23,000 - £25,000 Ref: 10579 Leeds Expanding niche Mortgage firm are seeking to recruit a Compliance Assistant to support the Head of Compliance. Duties will include conducting new business file reviews, assisting with Compliance audits, dealing with technical enquiries from advisers and the administration team, liaising with the regulator, assisting with training and competence observations, financial promotions approvals, complaints handling, anti money laundering and working on special projects including TCF. The ideal candidate will have some previous compliance experience and hold the FPC and / or CEMAP qualifications. Monitoring Manager £45,000 - £50,000 Ref: 10525 Wiltshire Our client is a brand leader and well known Financial Services company. They are seeking to recruit an experienced Compliance professional to manage the Monitoring team. You will be responsible for ensuring the Risk based monitoring programme is being carried out effectively to ensure the firm is meeting its regulatory obligations and the company’s controls and procedures are being met, identify areas of weakness and recommend improvements, mentor and train the team to maximise potential, oversee investigations and themed visits and keep up to date with regulatory changes to ensure these are incorporated into the monitoring programme. The ideal candidate will have experience in a monitoring role, good leadership skills and COB’s knowledge covering Life, Pensions and Investments. Compliance Consultant – Insurance £35,000 - £40,000 Ref: 10582 Wiltshire A leading Financial Services Company is seeking to recruit a Compliance Consultant to conduct and follow up risk based Compliance monitoring. This is an interesting and varied role. Duties will include to provide compliance risk analysis including analysing and communication the impact of regulation changes, establish and maintain relationships with allocated senior management, design mitigation programmes and remedial action to influence management, design and undertake audits, risk assessment and analysis, deputise for Senior Compliance Managers, and to interpret, communicate and monitor the implementation of new and changed compliance standards to ensure senior management effectively discharge their managerial and FSA Approved Person responsibilities. You will be providing advice on complex product development and corporate projects, assisting in designing and developing Compliance Division monitoring procedures and controls, support FSA visits, reports and ad hoc requests, provide feedback and coaching in relation to the learning needs identified during Head Office or branch based reviews and reports including summaries produced for Statutory Boards and the Audit Committee identifying the compliance risks. Previous general Compliance experience within the Insurance industry. Compliance Manager – Policy £60,000 - £70,000 Ref: 10505 Berkshire A leading Mortgage Company is seeking to recruit a Compliance Manager to analyse and interpret requirements and regulations and provide advice and support to the business. Duties will include attend regular meeting with Managers, provide advice and guidance to the business, review and sign off amended procedure, sign off on financial promotions and marketing, provide compliance support to new business initiatives, identification and reaction to regulatory breaches, assist in the designing of a training manual, review and maintain the compliance plan, provide monthly reporting on compliance development, assist with regulatory report and be responsible for managing your team including discussing objectives, ensuring level of competence is meet plus training and development. Experience in a similar role required. T & C Officer – Employee Benefits £35,000 - £40,000 Ref: 10558 London Leading Financial Services practice that provides financial planning advice, employee benefits and actuarial services to companies and high net worth individuals are seeking to recruit an experienced Compliance professional to support the Head of Training & Competence. You will be responsible for ensuring the division’s compliance records are up to date, carrying out assessments and training, respond to queries and needs from the business advising on regulatory issues, produce reports for management, analyse potential areas of risk and provide input recommending improvements. Compliance or T&C background and ideally previous experience of corporate clients is sought. A compliance background in Employee Benefits, Wealth Management, IFA or Private Banking considered. Regional Compliance Manager £45,000 - £50,000 Ref: 10577 South East IFA Network are seeking to recruit an experienced Compliance Manager to oversee the team that cover the Midlands and South East. Working from a home base you will be responsible for managing, supporting and developing the team of Account Managers, influence and support designated customer firms, support the delivery of visit programmes, facilitate the training and development of the team and member firms, communicate and generate a clear understanding of TCF Principles and individual responsibilities across the team. Previous Compliance and T&C experience required. Full FPC essential. Cemap and H15 would be desirable. 2 x Compliance Managers £50,000 - £60,000 Ref: 10547 Hertfordshire & Essex We are currently representing 2 Retail Financial Services companies who are seeking experienced Compliance Managers to manage the day to day running of the compliance team and act as deputy to the Head of Compliance. Both roles have varied responsibilities including oversight of the risk based compliance monitoring programmes, working closely with the business providing advice and guidance on regulatory obligations to ensure that the firm is complying with all relevant legislation, implement systems and controls, policies and procedures, conduct staff training, ensure areas such as complaints handling, AML, T&C and data protection are being run properly. Compliance experience in Retail Financial Services is required. Retail Banking and / or knowledge of Loans and / or credit cards would be useful. Compliance Analyst £35,000 - £42,000 Ref: 10568 City of London A well respected name in Asset Management is currently seeking an ambitious Compliance Analyst to play a key role in supporting the teams in London, New York and Asia. Responsibilities will include ensure the monitoring reviews are carried out on a timely basis, maintain the restricted list, administration and monitoring of Personal Account Trading, including approval of trades, monitoring compliance with policy requirements and dealing with violations and assist with staff training. Some previous compliance experience within an investment management firm is required. Capital Markets Compliance Manager £85,000 - £90,000 Ref: 10448 City of London A leading investment bank is seeking an experienced Compliance Manager to provide regulatory advice to the business areas including equities, global investment banking, capital markets and structured finance. You will be responsible for advising the business on how best to adhere to current and new rules/themes from the FSA taking into account commercial considerations, co-ordinate, develop and provide an integrated compliance training programme, lead coordination and preparation for FSA’s ARROW visits, review Policies, Procedures, Circulars and Directives issued by Head Office together with publications from local regulators to assess the impact on the London business areas, develop the review strategy and co-ordinate rolling risk based monitoring reviews Experience in a similar role is sought. Compliance & Risk Manager £50,000 - £60,000 Ref: 10574 Hertfordshire A leading financial services company, which is part of a large multi-national company, is seeking to recruit a Senior Compliance & Risk Manager responsible for the Compliance and operational risk management program. Duties will include managing compliance training, policy and procedure, maintain and enhance the operational risk program, liaise with legal team to determine impact in proposed legislation, produce an appropriate monthly Key Risk Indicators and report them to Senior Management, run the quarterly Risk Governance Committee and managing the day to day running of the Compliance department. Similar previous experience in Compliance ideally with previous Data Protection experience. Compliance Analyst £35,000 - £42,000 Ref: 10568 City of London A well respected name in Asset Management is currently seeking an ambitious Compliance Analyst to play a key role in supporting the teams in London, New York and Asia. Responsibilities will include ensure the monitoring reviews are carried out on a timely basis, maintain the restricted list, administration and monitoring of Personal Account Trading, including approval of trades, monitoring compliance with policy requirements and dealing with violations and assist with staff training. Some previous compliance experience within an investment management firm is required. Compliance Associate £30,000 - £40,000 Ref: 10573 City of London Our client is one of the largest specialty Fixed Income managers in the world is seeking to recruit an additional member to their Legal & Compliance team. Duties will include maintaining Chinese Walls for Bank Loan Business including liaising with portfolio management team and bank loan arrangers, ensuring that the firm’s restricted list and walls are maintained, approving marketing literature, carry out compliance monitoring and assisting in the production and issuance of Compliance confirmations. Some previous compliance experience either in Investment Management or Private Banking is sought. Senior Portfolio Manager Up to £50,000 Ref: 10570 London Leading Retail Bank are seeking an experienced Portfolio Manager to their team in London. Working as part of a team you will be responsible for driving P&L reduction whilst balancing customer experience and the design and definition of Risk Management Policy. You will be required to deliver specific elements of the Risk Management executive strategy and management specific frauds, including Debit and Credit cards and Partnerships. You will be expected to articulate your findings to various operational executive arms, and will act as a liaison point for Group Fraud, sales rigor, marketing and relevant SBU’s. The ideal candidate will have a strong knowledge of portfolio and customer based dynamics and a strong understanding of operational processes impacting risk management. Experience of utilising data to drive policy and work flow prioritisation is essential. Knowledge of regulatory environment is also essential. Monitoring Officer - Contract £30,000 Pro Rata Ref: 10569 Liverpool Leading Financial Services Outsourcer are seeking an additional monitoring officer to join the team based in Liverpool for a 3-6 month contract. Working as part of a team you will be responsible for ensuring the monitoring programmes are managed and delivered within specified timescales, that the programmes are identified and investigated to conclusion, providing appropriate recommendations for remedial action when necessary, produce reports on the findings for senior management, investigate breach incidents and follow through to conclusion, maintain effective relationships with the clients and ensure the acceptance of delivered monitoring reports and recommendations and provide effective feedback, assessing service levels and ongoing performance. Experience in a similar role required. Compliance Analyst £35,000 - £42,000 Ref: 10568 City of London A well respected name in Asset Management is currently seeking an ambitious Compliance Analyst to play a key role in supporting the teams in London, New York and Asia. Responsibilities will include ensure the monitoring reviews are carried out on a timely basis, maintain the restricted list, administration and monitoring of Personal Account Trading, including approval of trades, monitoring compliance with policy requirements and dealing with violations and assist with staff training. Some previous compliance experience within an investment management firm is required. Financial Crime Analyst £40,000 Ref: 10526 Bournemouth & Bristol Leading Financial Services firm are seeking to recruit an experienced Financial Analyst to support the Head of Financial Crime. You will be responsible for developing, implementing and managing financial crime across the Group, provide technical investigation expertise to colleagues, manage and investigate financial crime cases, provide weekly reports on identified activity to include trends and risks, represent the firm at industry forums, assist and develop the team capabilities in investigating financial crime through effective coaching and training, carry out process reviews to maximise savings and reducing financial crime leakage, produce best practice guidelines and policy for litigated cases, liaise with police, government bodies and the Money Laundering Officer to ensure cases are reported under Proceeds of Crime Act, Money Laundering and Anti Terrorist Legislation. Previous fraud experience in a Financial Services firm is essential. Compliance & Operational Risk Manager £50,000 - £60,000 Ref: 10477 City of London Leading Investment Management firm are seeking to recruit an experienced Risk Manager to assist the Head of Operational Risk in providing operational support, developing and implementing the key activities associated with the risk strategy for the firm including Compliance, Operational Risk Management and Financial Crime. Duties will include contributing to the design and development of a robust, progressive compliance, risk management and fraud prevention initiative across the business areas, carrying out testing to ensure appropriate systems and controls are in place to meet the delivery of the risk strategy, provide analysis and assessment for all relevant activities which support the compliance, risk management and fraud prevention strategy for the business area, design and publish communications which develop awareness and accountabilities, provide analysis which monitors and reviews all supporting operational processes, assist the business areas concerned in developing rigour standards around all areas of risk management, which will include training, continuous assessment, testing and performance reporting to the Executive & Risk committee. Experience in a similar role is required.