My client, a leading global financial services/share registration business, are recruiting for a Senior Compliance Manager to join their team in London. Candidates should have a good understanding of CASS and COBS 2.
Key Accountabilities and Main Responsibilities
- To drive Regulatory Change for the business, guiding the compliance team, attending relevant forums/committees, remaining up to date with all regulatory developments and assessing the implications for the businesses and, where appropriate, manage the completion of a gap analysis and recommendation/implementation of changes including update of Compliance policies and monitoring plans, providing timely and accurate updates to the Head of Compliance, Risk Committee and Board, and Group etc., as appropriate.
- To oversee the preparation of the annual risk-based Compliance Monitoring programme, including the risk-ranking exercise.
- To oversee the delivery of the ongoing Compliance Monitoring Programme providing timely and accurate reports to the business, Head of Compliance, Risk Committee and Board, and Group
Experience & Personal Attributes
- Minimum 5 years’ experience in compliance and working within FCA regulatory framework
- Knowledge of regulatory requirements especially, but not limited to, the Financial Conduct Authority or other Regulators.
- Experience in interpretation and implementation of regulatory change within a business environment.
- Proficient understanding FCA rules (CASS, COBS, FEES, TC, SYSC, DISP, SUP ) and legislative requirements.
- Proficient knowledge of Client Assets, Custody, Dealing, and related technical aspects of the Securities / Asset Management / Stockbroking sectors
- Report writing, time management, good people management and team working skills
- AML rules and regulations.