Compliance advisory Analyst Compliance advisory Analyst …

Goodman Masson
in London, England, United Kingdom
Permanent, Full time
Last application, 02 Oct 19
£40,000 - £48,000
Goodman Masson
in London, England, United Kingdom
Permanent, Full time
Last application, 02 Oct 19
£40,000 - £48,000
A wealth and Asset Management firm are looking for someone to join their compliance advisory team. This is tasked with dealing with a variety of different queries from the business. Around transactions, COB rules, G&E, Financial promotions, Financial crime, PA dealings ect

Role purpose

Perform an advisory role supporting the business in discharging its regulatory obligations

Act as a point of contact for regulatory enquiries from multiple business areas and providing time-sensitive advice and guidance

Assist with the monitoring of the Compliance email inbox and provide compliance advice and guidance to the business, where necessary

 

Responsibilities 

Keep abreast of current and upcoming regulatory developments and assisting in incorporating them into processes and procedures

Respond to requests for advice from the front office, operations and other business areas and provide the appropriate level of support to either resolve or escalate the matter being referred

Review and approve financial promotions

Review and approve requests for personal account dealing 

Carry out identity verification checks on clients of different types for AML purposes

Escalate any significant issues, weaknesses or outstanding action items to the Compliance Manager 

Prepare compliance reports and MI for other members of the Compliance Team and senior management 

Assist other members of the Compliance Team and undertake ad-hoc compliance related projects, as required

 

What experience are they looking for?

Familiarity with the key FCA Sourcebooks (COB’s particularly 2 and 6)

Knowledge of the JMLSG Guidance Notes

Knowledge of at least two of Financial Promotions, G&E, PA dealings, transaction approvals.

Company Overview

With a team of over 200 and growing every day, Goodman Masson is one of London’s specialist Finance and Technology recruitment businesses. Voted ‘Best Recruitment Company to Work For’ in 2018, our passion for what we do is clear.

Based in London, Düsseldorf and New York, we hold annual revenues exceeding £42 million. This includes Qualified & Part-Qualified / Transactional Finance, Actuarial & Investment Management, Audit, Banking Operations, Compliance & Financial Crime, Front Office, Housing Development, Information & Cyber Security, Technology, Digital & Data, Product Control & Valuations, Projects, Change & Transformation, Risk & Regulation, Tax and Treasury.

We also have a Solutions team who provide RPO, hybrid and volume recruitment services. Alongside this, Goodman Masson have developed an Executive Search team who focus on sourcing C-suite talent to fee earning Legal partners.

 

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