A multinational third party management company is seeking a compliance officer to drive a strong compliance ethic across the UK. You will be in charge of providing clear advice to the board of directors and the group head for all compliance regulations and queries that may impact the business across the UK.
Key Responsibilities:
- On-boarding of Appointed Representatives and secondees
- Assessing funds for compliance
- Reviewing and approving Financial Promotions
- Developing and maintaining operational procedures
- Investigating of suspicious activity
- Advising on current and forthcoming FCA (and relevant European) regulatory requirements, including AML, Counter Terrorist Financing and Anti Financial Crime
- Supporting the engagement with FCA and other regulators
- Engaging with senior industry colleagues and contacts so as to keep abreast of market developments
- Deputising for Compliance Director
Profile:
- 5+ years' experience in a regulated compliance role
- Experience of Appointed Representative arrangements
- High grasp of FCA requirements in relation to relevant requirements e.g. SYSC, COLL, FUND, COBS, CASS
- Strong organizational and presentation skills
- Analytical and problem-solving skills
- Excellent written and verbal communication skills
- Ability to work independently and in a team
- Fluency in English