Assistant Manager Compliance - London, United Kingdom - Superb People Ltd

Description

Job Description

We are recruiting for an Investment Bank based in Knightsbridge area.

1 day in the office 4 WFH.

Core Responsibilities

Assist with the UK Regulatory Compliance monitoring plan by executing reviews independently on various themes such as suitability and appropriateness, client categorisation and financial promotions.

Completing regulatory reports and providing MI for the London committees, Head Office and the UK regulators etc.

Assist in drafting, editing, enhancing existing and new policies and procedures.

Assist in reviewing any Financial Promotions submitted by the respective business area.

Assist with all tasks related to Complaints Handling, Gifts & Hospitality, Breaches and Personal Account Dealing.

Assist with Conflicts of Interest (COI) processes and maintain the COI register.

Horizon scanning. Interpret new/amended regulations, identify significance to the UK business and prepare "white papers" where relevant. Provide project management assistance and regulatory advice for duration of project.

Assist with the provision of regulatory compliance training.

Assist with all tasks related to Single Customer View requirements.

Any other tasks that may be required within Regulatory Compliance subject matters.