Compliance Adviser (Asset Management)
Investment Management
£60,000 - £65,000
Leading Asset Management firm specialising in Multimanager Funds, Portfolio Management and Asset Allocation are seeking to recruit an additional Compliance Adviser to join the team.
You will be responsible for providing Regulatory Compliance and AML advice, guidance, and oversight to the business in respect of all global regulatory requirements (including UK FSA, Central Bank of Ireland, EU Money Laundering Regulations, and Hong Kong SFC regulations), this includes providing regulatory support for distribution / institutional client onboarding process, providing an efficient service for new distributors and third party agencies, provide compliance guidance on a risk basis for the overseas sale & marketing activities, including sign off on advertising materials, assist in providing regulatory advice on new product development and work closely with other areas of the compliance team such as monitoring, breach registers etc
Previous Compliance experience within Asset Management is essential
11005
City of London
Compliance Advisory Manager
Investment Management
£75,000 - £85,000
Investment Management firm are seeking to recruit an experienced Compliance Officer to work closely with the Front Office and assist the Compliance Director in managing the Risk and Compliance function for the firm.
You will act as the main compliance advisory officer within the company focussing on support for the front office on a wide range of FSA issues, undertake periodic client file reviews for compliance with the FSA rules and suitability of investments for clients, and providing investment-related advice, provide support and advice to the investment management process, including review of portfolio allocation and new product process, support training initiatives for the company as a whole, carry out identification of gap analysis and implement relevant regulatory measures in line with legislative changes.
The ideal candidate will have a compliance background in Investment Management. Good knowledge of UCIT's desirable.
11053
City of London
Risk Assurance Manager - Wealth Management
Investment Management
£55,000 - £65,000
The Wealth Management arm of this major Banking Group is seeking to recruit an additional Risk Manager to take responsibility for the implementation and management of the risk assurance framework, timely reporting and effective oversight of all risk aspects within the business area.
Duties will include working with senior management to develop effective risk & control assessments, identify weakness areas and advise the business on improvements, carry out risk control monitoring, implement a strong risk awareness and client fairness culture across all aspects of the business, ensure that root cause analysis is completed where loss events occur and that business change is effected to mitigate the risk of future events and actively participate in the governance and risk forums.
The ideal candidate will have previous Risk experience within either Wealth Management, Investment Management or Investment Banking
11007
West End of London
Compliance Policy Manager
Securities and Banking
£100,000 - £105,000
Global Bank covering Wholesale, Investment Management, Private Banking and Retail Banking.
Manage the ongoing development of the group’s Conduct Risk Policies
Keep up to date with current trends and ensure the policies meet changing business needs
Identify research and assess new and emerging Conduct Risks, recommending methods by which those risks can be mitigated.
Provide technical advice and expertise on parts of the FSA’s Handbook of Rules and Guidance, including the Conduct of Business Sourcebook.
Research and draft policy papers
Ensure that the Conduct Risk Policy Standards meet changing regulatory requirements and expectations
Ensure that the Group’s Conduct Risk Policy standards meet the requirements of the Group Policy Framework.
Represent the regulatory community (internal & external) as are relevant to the ongoing development of the Group’s Conduct Risk Policy Standards.
Continuous benchmarking of the Group’s Conduct Risk Policies against peer institutions, ensuring the firm maintains a level of performance that meets the expectations of all stakeholders.
Strong knowledge of the FSA Handbook and Conduct Risk
Experience of drafting policy
Strong communication skills with the ability to challenge and influence
11052
City of London
Compliance Officer (Private Clients Stockbroking)
Investment Management
£45,000 - £55,000
National Stockbroking firm are seeking an additional Compliance Officer to join the team.
Reporting to a Compliance manager you will have a key role in the team responsible for monitoring the regulatory compliance of the nationwide network of branches and brokers which provide Stockbroking and Financial Planning services to clients across the UK. Duties will include undertaking risk based monitoring reviews, provide advice to the business to ensure adequacy of systems and controls, assist with Anti-Money Laundering Monitoring, produce management reports, deal with queries from the business regarding client account set-up approval and review and update policies and procedures.
Previous Compliance experience ideally within Stockbroking / Wealth Management is required.
11010
City of London
Field Based Compliance Auditor (National IFA)
Life and Pensions
£45,000 - £50,000
National IFA Network support firm are seeking to recruit an experienced Compliance Auditor to work with a panel of clients ensuring they have robust compliance measures in place.
You will be responsible for providing an external audit function to clients, auditing medium to large financial service businesses, maintaining a professional relationship with clients to provide ongoing support, advise the business on changes in regulatory and legislative obligations, undertake file reviews & audits at clients’ premises, produce written reports and other appropriate documentation, advising the business on the audit findings and where to make improvements.
Previous Compliance experience within Wealth Management, IFA or Investment Management is sought.
11017
North London (M1)
Compliance Officer (Investment & Retail Banking)
Securities and Banking
£60,000 - £80,000
The Group Compliance & Risk function of this international banking organisation are seeking to recruit an experienced Compliance Officer to support the Head of Regulatory Change.
You will be responsible for delivering and supporting the design, implementation, management and continuous improvement of regulatory change programmes across the group, sourcing information from new regulatory policies, legislative change, implementation of new processes and operational enhancements, initiate, control and deliver the projects across multiple workstreams, provide proactive project management & leadership across the change agenda, work in partnership with the Divisions and the Group Central Functions to deliver and embed change initiatives.
In-depth regulatory knowledge of risks associated within Banking and experience of change management projects is essential combined with strong communication skills, influencing and leadership attributes
10936
City Of London
Compliance Managers - Investment & Retail Bank
Securities and Banking
£70,000 - £95,000
International Banking firm are seeking to recruit additional experienced Compliance Officers to join their Group Compliance function.
You will hold a key role within the team that is responsible for providing assurance to the groups Senior Executives. You will be involved in evaluating and managing the firms regulatory risk profile, taking part in risk-based, global assurance reviews, carrying out oversight of key regulatory issues arising from changes in legislation and ensuring effective identification, assessment, management and monitoring of regulatory risks.
Strong communication and influencing skills is required together with extensive regulatory knowledge related to Investment Banking and / or Retail Banking and a broad understanding of risk management principles within Financial Services.
10934
City of London
Head of Risk & Compliance (Global Commercial Law f
Risk
£95,000 - £100,000
Global commercial law firm is seeking to recruit an experienced Head of Risk & Compliance. The role will involve managing the firm's risk and compliance requirements so as to ensure that the firm complies with its professional and regulatory obligations and that professional risks are appropriately mitigated.
You will be responsible for managing the risk & compliance aspects of the firm's new clients and inception processes / procedures to ensure that new work can be taken on efficiently while also addressing relevant risk and compliance issues, advise fee earners on conflict and confidentiality issues, ensure that the fee earners comply with relevant legal and professional obligations, support the Money Laundering Reporting Officer by acting as Deputy in managing the firm's anti-money laundering compliance risks, dealing with client due diligence and suspicion reporting, monitor developments in relevant law, regulation, policy & market practice updating the Professional Practice Partner and MLRO as appropriate and take the lead on amending existing policies and procedures or drafting new ones across the practice.
A legal background combined with up to date knowledge and experience of the regulatory environment is sought.
11020
City Of London
Compliance Monitoring Officer
Investment Management
£45,000 - £55,000
Diverse Financial Services Organisation who offer Private Banking, Investment Management and Pensions Advisory services are seeking to recruit an additional Monitoring Officer to join the Compliance team.
You will be responsible for assisting in the delivery of the firm’s compliance monitoring programme, undertake client file reviews for compliance with the FSA rules and suitability of investments for clients, co-ordinate the file review process and produce monitoring reports, documenting the results of the client file review process, undertake regular reviews of the central administration department for FSA standards and JMLSG guidance and carry out thematic reviews across the business in respect of specific regulatory topics
The ideal candidate will have previous compliance monitoring experience ideally within Wealth Management or Investment Management.
11011
City of London
Compliance – Asset Management (London)
Investment Management
£70,000 - £80,000
Company Overview
International Asset Management firm are establishing a new subsidiary company within the UK and are seeking to appoint a Compliance Officer to be based in London.
Key Responsibilities
You will be responsible for developing and administering policies, procedures or controls designed specifically to prevent and/or detect breaches of securities rules/laws/regulations, work closely with the FSA and local compliance offices within the group to resolve compliance issues, provide regulatory advice and training to staff, review documents, contracts and applications and sign off on marketing & advertising materials.
Skills & Experience
A minimum of 4 years Compliance experience within Asset Management is required.
10831
City of London
FSA Regulatory Consultant (Law Firm)
Securities and Banking
£75,000 - £85,000
International Law Firm are seeking an experienced Compliance professional to work as part of their Financial Services practice.
Working as part of a team you will be responsible for development of the compliance consulting services business by promoting the business to existing and potential clients.
Taking responsibility for the provision of a full range of compliance activities such as FSA authorisations, applications and notifications; compliance training; compliance monitoring; compliance advisory services and preparation of compliance documentation
Keeping up to date with new legislation & regulatory rules that impact the clients businesses.
Create briefing notes on topical regulatory and compliance issues and ensure that these are revised on an ongoing basis.
Develop a thorough understanding of clients’ businesses, understand the way in which the regulatory environment impacts on their activities and have a strong grasp of the detail of applicable requirements.
Foster a professional relationship and maintain open lines of communication with clients, be alert to regulatory changes affecting clients and be proactive in bringing these to clients' attention.
Degree and / or relevant professional qualification [e.g. Legal Practice Course] or equivalent.
Solid industry knowledge of the financial services investment sector, for example - fund / asset management, brokerage, trading platforms, private equity, venture capital , corporate finance.
Working knowledge of financial services and regulated regulations, e.g. practical knowledge of large areas of the FSA Handbook, FSMA 2000, the Regulated Activities Order and MiFID.
Ability to analyse and interpret detailed regulations and apply and articulate such interpretation to real business scenarios.
11049
City of London
