Vp - Compliance & Risk - London, United Kingdom - Eames Consulting

Eames Consulting
Eames Consulting
Verified Company
London, United Kingdom

1 week ago

Tom O´Connor

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Tom O´Connor

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Description

This is an exciting opportunity to join a fast growing and hugely successful Group that is investing in new capabilities to leverage that success in their new corporate advisory entity.

Reporting to the Global Head of Risk & Compliance you will play a criticalrole in setting out the foundations for a new Risk and Compliance function that is business supportive, highly skilled, responsive and best in class within the newly Authorised Regulatory Firm.


R esponsibilities to include:


  • Incorporate MIFID requirements pertaining to the Firm
  • Advise upon all additional regulatory matters pertaining to the Firm
  • Incorporate and embed regulatory requirements into the Firm
  • Assist and operationalise regulatory requirements within a newly Authorised Firm
  • Ensure delivery of the Annual Compliance/Risk Assurance Plan of activities
  • Undertake and maintain the Compliance Monitoring Plan
  • Advise on and draft Client Engagement Letters, Best Execution requirements, Non-Disclosure Agreements, Confidentiality Agreements and other related contractual or insurance documents.
  • Assist with MI and the maintenance of various registers, such as Conflict of Interests, Gifts & Entertainment, Complaints and others.
  • Advising upon regulatory requirements to ensure business is permitted to transact and/or place business in specific markets/jurisdictions, ensuring compliance with all applicable regulatory regimes.
  • Maintaining the Anti-Money Laundering /Counter Terrorist Financing Framework
  • Maintaining accurate and uptodate records of Trading Partner relationships, including related correspondence, supporting documentation and onboarding due diligence.
  • Responsibility for third party payment approvals including ensuring the Firm's policies are followed, key stakeholders are kept uptodate and escalation taken where required.
  • Identifying and advising upon potential sanctions issues, including recognizing when issues might occur. Liaising with business and other stakeholders to advance the matter.
  • Trading Partner relationships and assist in their onboarding and maintenance:
  • Identifying the nature and type of relationship (professional clients and eligible counterparties);
  • Identifying correct counterparty and customer categorisation requirements;
  • Conduct duediligence and dismissing of potential sanctions, enforcement and adverse media hits;
  • Assistance with MIFID requirements in relation to Internal Capital Adequacy Risk Assessment (ICARA)
  • Responsibility for the management and oversight of the Risk Management Framework
  • Assist with operationalizing the ARCAS Risk Register, managing, reporting and articulating progress and current state
  • Leading Stakeholder meetings to identify and record current and emerging risks
  • Engaging with stakeholders for lessons learned/root cause analysis remediation activity.
  • Keep up to date with MIFID, risk and regulatory developments, as well as communications, to ensure horizon scanning is actively adding value.
  • Ad hoc training as may be identified and required

Experience & knowledge required:

  • Minimum of 5 years' Compliance and Risk experience
  • Experience in the (re)insurance broking and Capital Markets insurance sector is preferred.
  • Compliance and/or Legal experience is preferred.
  • Experience or an understanding of MIFID regulations is required.
  • Proactive, forward thinking, willing to take ownership
  • Must operate with a high level of integrity and discretion
  • Maintain high levels of confidentiality at all times
  • Good interpersonal skills and a team player
  • Ability to prioritise work and deadlines
Eames Consulting is acting as an Employment Agency in relation to this vacancy.
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