MERJE are currently partnering with a leading wealth management business looking for a Compliance Manager to work closely with the Deputy Head of Compliance and the wider Compliance team.
· Overseeing effective regulatory reporting and assisting with return completion · FCA Connect applications · Assisting in anti-financial crime matters · Assisting with running of compliance software system used in the business e.g. approvals, attestations, policy certification · Performing and/or assisting with ad hoc compliance monitoring reviews on a range of topics · Providing regulatory tracking support to the IFPR project · Some financial promotion activity
Qualifications:
Compliance qualifications an advantage although experience is more important
Experience:
At least 5 years’ experience in wealth management AML CDD and EDD experience during that time Direct experience of FCA applications and reporting Experience of monitoring, CASS and/or MAR an advantage Knowledge:
Conversant with UK AML laws and regulations/the JMLSG guidance notes Familiar with SYSC, SUP, CASS and/or MAR Good understanding of regulatory expectations |