Compliance Lead - London, United Kingdom - Artemis Recruitment Consultants Ltd

Artemis Recruitment Consultants Ltd
Artemis Recruitment Consultants Ltd
Verified Company
London, United Kingdom

3 weeks ago

Tom O´Connor

Posted by:

Tom O´Connor

beBee Recruiter
Description

Roles & Responsibilities:


Client Money and Assets

  • Challenge 3rd party administrator on CM accounts, as appropriate.
  • Prepare PPM and PFM RegData CMAR (i.e. Client Money) report.
  • Review the regulated entities' CASS Resolution Packs.
  • Update Client Money Bank Account Acknowledgment Letters, as necessary.
  • Advise the business regarding CASS requirements when needed.
  • Assist in completion of the annual external CASS audit.

Monitoring Process

  • Maintenance and development of Compliance (i.e. Insider List, Gifts & Entertainment, PA Dealing) registers.
  • Approval / rejection of PA dealing requests from staff members.
  • Approval / rejection of Gifts and Entertainment requests.
  • TR1 Reporting/Section 793 Responses.
  • Assist with due diligence reviews of Third Party Administrators as required.
  • Plan and execute thematic compliance monitoring reviews of internal departments.
  • Assist in the analysis of the impact and implementation of new regulatory rules and guidelines.
  • Liaise with external third parties as required.
  • Assist in the completion of the Compliance Monitoring Programme

Financial Crime

  • Assist the MLRO in resolving financial crime issues and queries
  • Report on financial crime matters both internally and externally as required
  • Challenge and work with third party administrators as required

Training

  • Provide in depth CASS training to all CASS affected staff on an annual basis.

Incident Reporting

  • Where necessary, assist review, investigation and analysis of breaches for both regulated entities including investment and borrowing breaches and liaising with Investment Managers and 3rd Party Administrators.
  • Ensure that all incidents are recorded as appropriate; review, investigate and analyse the errors and breaches and ensure remedial action is undertaken and completed. Record all breaches through internal Risk Operational tool.

Committees / Reporting

  • Prepare relevant board and committee papers.
  • Represent compliance in Committee discussions where appropriate.
  • Performing secretarial duties for inhouse Committees as necessary, specifically the CASS Review Committee but also any additional Committees as and when required.

General Support to the Business

  • Research connected with new products or projects;
  • Assist in the day to day management of agreed projects;
  • Produce regular and adhoc reports;
  • Maintain up to date Compliance procedures;
  • Assist in the completion of the Compliance Monitoring Programme
as business needs or cover require; and

  • Ability to use own initiative to complete agreed tasks.

Education / Qualification

  • Educated to GCSE level or equivalent
  • Relevant qualification in Compliance

Experience / Knowledge

  • Experience of working in Compliance and Money Laundering in the Finance industry, preferably in Fund Management.

Skills

  • Team player with a positive, results orientated approach;
  • Communication skills with the ability to communicate effective both written and verbally at all levels; Strong Interpersonal skills;
  • Ability to prioritise workload and adhere to deadlines; Demonstrable Problem Solving skills.
  • Ability to demonstrate tact and diplomacy when coping with difficult situations;
  • Good administrative and personal organisational skills; Good numeracy skills.
  • Good IT skills / ability to use Microsoft Office and Excel.

Characteristics

  • Ability to work under considerable pressure and adhere to strict timescales.
  • Attention to Detail
More jobs from Artemis Recruitment Consultants Ltd
See all jobs of Artemis Recruitment Consultants Ltd