Compliance Officer - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Job Summary

London
Permanent
JN
Feb 20, 2023

- £50k - £55k

Job Description:

Our client are a leading Global Asset Manager who are looking for a compliance officer to join the growoing compliance team

To assist the Compliance Monitoring team with the execution of the Branch's compliance monitoring tasks, and to promote the Branch and maintain the compliance framework.

This will include MIFID II, GDPR, AML, COBS and SYSC
To assist the Compliance team to ensure that the Bank meets all necessary regulatory requirements in a timely manner.
Provide assistance to the Head of Compliance in carrying out duties allocated on various regulatory matters within the department.

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KEY RESPONSIBILITIES:

(Under the guidance and final responsibility of the Head of Compliance):

a)Executing compliance monitoring tasks assigned in line with Branch's compliance framework.

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b)Contributing to ensuring that the departmental compliance monitoring procedure is up to date and reviewed in detail at least annually.

Assist with departments Compliance administrative tasks such as meeting minutes, maintenance of records;

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d)Assist with the new joiners and leaver process
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e)To assist the compliance team in ensuring that the compliance function remains up to date with requirements issued by any statutory and regulatory authority authorities;
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f)To support where necessary, the business units on regulatory matters;

To investigate and report upon breaches of internal policy as required by the Head of Compliance
To continuously work towards increasing knowledge and competence within the role and assist in proactively demonstrating a professional compliance function within the Branch;
Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.