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Compliance Executive

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Daily Rate Competitive
Type Temporary / Interim
Location Manchester
Sector Compliance
Job Reference UK2A/MAS/28686
Contact Mark Singleton
Date posted 25-04-2018

Fixed Term Contract 16 months (maternity cover)
Ideally you will have knowledge of Investment Operations experience and have dealt with Project work.

Establishing/implementing and maintaining the firm’s compliance policies and procedures
• To ensure compliance with all regulatory requirements from various entities such as the FCA, the ICO (Data Protection Act) and European legislation
• Completing the compliance monitoring review (including monthly, quarterly, semi-annual and annual checks). Conducting internal risk assessments
• Signing off all communications to clients including financial promotions (as per COBS 4) & keeping appropriate records
• Updating the Compliance Manual as appropriate
• Monitor, design and implement strategies to comply with new legislation & directives (e.g. from EU and FCA)
• Signing off new client files prior to new account set-up to ensure all documentation appropriate
• ‘TCF culture’ - including arranging staff training; submitting appropriate MI and conducting periodical reviews
• Managing various registers such as breaches; complaints; PA dealing & prohibited stocks list
• Regularly reporting to Partners/Directors including annual compliance report
• Assisting in the completion of any FCA returns as required
• Liaising with external compliance consultants as appropriate
• Managing projects in line with EU Regulations such as GDPR

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Contact Mark about this job

VP, Consultant