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- 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.
Contact
Michael Cunningham
Quote job ref
JN-062022-5661258
Phone number
+44 207 776 5923
Job summary
- Sector
- Compliance
- Subsector
- Compliance Monitoring
- Industry
- Financial Services
- Location
- London
- Contract type
- Temporary
- Consultant name
- Michael Cunningham
- Consultant phone
- +44 207 776 5923
- Job reference
- JN-062022-5661258
