Compliance and Risk Manager

  • £70,000 - £90,000 plus very strong bonus
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • One Ten Associates
  • 13 Aug 18 2018-08-13

A multi billion dollar global institution based in the Far has launched an exciting platform in London which growing and need to identify its first Compliance and Risk Office to report in the GC

This represents a very exciting time to join this platform because not just the growth but having the opportunity to be the first dedicated Compliance hire for the Londdon office and having the opportunity to have breath and variety in your work. Listed below is an example of the breath involved :

  • Compliance framework:    working with the Head of Legal and Compliance in ensuring that appropriate licences and authorisations in the relevant jurisdictions in which the business operates are maintained and put in place.  
  • Working with the Executive Management team to set the principles and standards for the business and create a strong compliance culture and accountability model to ensure operational compliance across the business. 
  • Regulatory and industry body liaison: liaising with the FCA, other European regulators and FINRA, new product developments, regulatory breach reporting and complaints.
  • Monitoring: monitor all regulatory aspects of the business in accordance with the monitoring program and in coordination with outside consultants where agreed.
  • Marketing: work with the marketing team to ensure all relevant documents are compliant with Conduct or Business and Financial promotions rules,
  • Operational Risk: work with the wider business to establish appropriate systems and controls to monitor and mitigate operational risk.
  • Corporate Finance: key responsibilities involve oversight of procedures, liaison with the UKLA and advising on listing rules.
  • Boutiques onboarding: facilitate and ensure new boutiques have core compliance support for their CF10, through documented and appropriate policies.

The culutte and environment at this platform is what makes this a stand out opportunity for a Compliance professional with around 4-8 years of experience.

Our client is looking to identify candidates either in a Compliance consultancy looking for that first move to the Compliance professionals looking for that 2nd orr 3rd career move where they have some of the breath of skills knowledge and experience for this very key hire.