Compliance Manager 9-12 month FTC

  • Location

    City of London, London

  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:


  • Contact:

    Bethany Singer

  • Contact email:


  • Job ref:


  • Published:

    11 months ago

  • Duration:

    9-12 months

  • Startdate:


As a compliance manager you will be responsible for:

· Coordinating all compliance related activities and oversight of individual territorial considerations across certain international and domestic jurisdictions in which the firm holds securities licenses.
· Being the point of contact for all compliance issues raised by employees and clients
· Providing advice and direction on compliance topics to all areas of the business
· Co-ordinating compliance requirements for the business as it expands into new territories and products as appropriate
· Identifying regulatory changes with a potential impact on the firm's business model
· Proactively report to the Operations Committee on matters of risk
· Assisting in collating regular quarterly reports on compliance matters to the Board of Directors
· Assistance with ad hoc compliance matters and projects
· Ensuring the timely submission of all appropriate reports and notifications to relevant regulatory bodies
· Assisting with on-boarding and training of new employees
· Assisting in the drafting and implementation of compliance policies and procedural documents including KYC, AML, restricted stock lists, Personal Account Dealing Notices, Gifts Registry, Conflicts of Interest and the internal approved persons register
· Reviewing and assessing the AML/KYC requirements for new and high-risk jurisdictions
· Connect application for approved person
· Compliance monitoring, including transaction monitoring, file reviews, regulatory monitoring and financial crime assessments
· Assisting with audit requests, risk assessments and regulatory & monitoring reviews
· Oversee compliance with relevant regulatory rules for systems and controls against money laundering
· Maintaining a risk-based approach to prevent money laundering/terrorism financing
· Ensure KYC/AML and customer classification requirements are fulfilled for each new client engagement

As a compliance manager you will need:

· Experience in all the above
· Minimum of five years' experience in a compliance / legal role within the financial services sector
· Strong academic background, graduated with a minimum 2:1 Bachelor's degree or equivalent professional qualification
· Experience with assisting with the drafting of internal policies and procedures
· Good understanding of KYC/AML/CTF requirements and the Regulatory risk environment
· A highly motivated self-starter
· Excellent relationship management, business communication and interpersonal skills
· High level of integrity and collegiate team-based approach
· Well-rounded strategic and commercial acumen
· Excellent written and verbal English language skills
· Good organisational capabilities and ability to prioritise workload
· Right to live and work in the UK
· Good working knowledge of Microsoft Excel and Word

This is a London based role, however occasional UK and international travel may be required to fulfil the role.

We are Social