Compliance Manager (temp)

THE COMPANY: Our client is a global asset management firm, providing a focused and specialized range of investment solutions to institutional and wholesale investors.

THE RESPONSIBILITIES:

1. Assist in managing all compliance issues within the UK Branch, including compliance monitoring, risk to regulated entities, training requirements and monitoring new regulatory developments, assessing the impact of the UK Branch and informing the Board / Executive Committee (together “governing bodies”) of the findings, actions required and timelines; Coordinate and implement the standards of the Luxembourg-based entity based on UK and European legislations.
2. Apply knowledge in anti-money laundering and client identification in the account opening process and transaction monitoring.
3. Manage various compliance responsibilities including designing and implementing internal controls, policies and procedures to assure compliance with applicable local, state and federal laws and regulations and third party guidelines, including those relating to customer, client take-on and client agreements.
4. Act as the deputy Money-Laundering Reporting Officer (MLRO) for the UK Branch, including approval of all new client relationships; establishing and maintaining appropriate systems and controls for on-going monitoring of financial transactions for evidence of money laundering and financial crime including bribery; acting as focal point for receipt and assessment of internal suspicion reports; making disclosures to and acting as liaison with the authorities in respect of financial crime and suspicious transaction reports; arranging appropriate financial crime and fraud training for all employees, and assist in preparing and submitting the quarterly MLRO Report to the governing bodies.
5. Develop an internal control system to ensure adherence to legal and prudential standards, in particular concerning market rules and investor protection in a UK and international regulatory environment.
6. Be aware of and consider the impact of Consumer Duty and the six Treating Customers Fairly outcomes in respect of all activities undertaken.
7. Be aware of obligations in preventing the Business being used to further financial crime, in particular money laundering, terrorist financing, bribery and corruption and market abuse and to report any suspicions or suspicious activity where market abuse is suspected.
8. With the Head of Compliance UK and the Head of UK Branch, manage the relationship with the UK regulated authorities.
9. Responsible for all regulatory training and ensuring that Certified Persons (or equivalent) are necessarily competent and qualified to perform their roles.
10. Assist in reporting to the governing bodies of the regulated entities in respect of compliance regulatory risk issues Group-wide risk responsibilities.
11. As a risk owner, responsible for ensuring that the controls in Compliance are adequate, operate properly and mitigate relevant risks.
12. Responsible for reporting any incidents, near misses or control failures and well as identifying and reporting emerging risks, conflicts and important trends.
13. Responsible for monitoring any regulatory changes that may impact the business, advising the executive and governing bodies and developing strategy and / or forming appropriate committees / working groups to ensure the business remains compliant at all times.
14. Any other duties required consistent with your role.

EXPERIENCE REQUIRED:

1. Strong Microsoft Office, particularly Outlook, PowerPoint, Word and Excel.
2. Strong communication skills (oral and written).
3. Ability to multi-task and manage a heavy workload.
4. Ability to escalate or delegate requests as appropriate.
5. Acute attention to detail.
6. Ability to work under pressure.
7. Collaborative team approach.
8. Personable demeanour with ability to build good relationships and rapport.
9. Honesty, integrity and financial soundness.

For further information please contact Duncan Jeffery.

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