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Compliance Manager

  • Location: City of London
  • Salary: £400 - £450 per day

Posted 16 days ago

  • Sector: Compliance
  • Contact: JAKE KELLY
  • Contact Email: jkelly@merje.com
  • Expiry Date: 16 December 2021
  • Job Ref: JK/18321

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