Compliance AD - Monitoring - 6 Month Contract

London Temporary £60,000 - £70,000
  • Extensive development opportunity within an internationally recognized brand
  • Broad role with experience across multiple operations

About Our Client

Internationally recognised FS business, Head Quarted in New York with a heavy London Presence.

Job Description

  • Provide a practical and supportive role in maintaining, advising and overseeing compliance with the Firm's Code of Conduct provisions relating to employee trading, gifts, outside interests and annual certifications by sharing a core set of responsibilities with the current compliance analysts in London and the US
  • Assist colleagues with regulatory examinations, collect, organize and provide required regulatory reports and respond to information requests
  • Help establish and lead a second line of defence program for anti-money laundering and foreign sanctions compliance
  • Ongoing liaison with lines of business management and other support functions
  • Identify areas for process improvement within the function
  • Participate in compliance workplan groups relating to personal conflicts or other compliance areas
  • Hands on approach with a sense of ownership and leadership for the assigned geographical regions
  • Must be comfortable working in an environment of change and growth

The Successful Applicant

  • Strong hands on, demonstrable experience in the financial services industry monitoring for conflicts monitoring arising from employee securities trading, outside interests, gifts and entertainment
  • Significant hands on experience in a first/second line of defence role covering anti-money laundering and sanctions compliance
  • Knowledge of local regulatory requirements and obligations and the ability to identify emerging compliance issues and themes
  • Advanced ability to identify discrepancies and determine alternative courses of action
  • Highly organized with good time management skills and a responsive nature
  • Effectively communicate policy requirements to employment candidates, employees and managers on pertinent policies and procedures
  • Experience using MyComplianceOffice and MetricStream as well as sanctions screening tools
  • GDPR and privacy law experience viewed very favorably

What's on Offer

Hybrid role covering a broad range of compliance functions, alongside a competitive salary.

Michael Cunningham
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Phone number
+44 207 776 5923

Job summary

Compliance Monitoring
Financial Services
Contract type
Consultant name
Michael Cunningham
Consultant phone
+44 207 776 5923
Job reference