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Compliance Manager - Control Room/Central Compliance

  • Location: London
  • Sector: Compliance
  • Salary: £55000 - £60000 per annum
  • Job type: Permanent
  • Date posted: 13/01/2018
  • Job reference: 28889

This highly renowned investment bank is offering a new position for a compliance professional with a minimum of three years experience

Responsibilities will include:

* Processing, preparation and submission of all daily control room reports as required
* Administer Central Compliance core requirements including Personal
Account Dealing requests and monitoring, , Approved Persons
Administration; Gifts and Entertainment
* Taking part in the wider compliance function by assisting with training,
providing management with written reports and other ad-hoc projects
* Formalising and documenting the framework of Compliance Procedures
* Regulatory reporting including short selling,
* Assisting in various branch reporting - monthly Report, Financial
Crime Report, US Disclaimer Report.
* Keeping up to date and informing the firm of regulatory change
* Review and revision of policies and procedures
* Production of management information, including Board reports
* Carrying out compliance tasks including FCA registrations and reporting
* Assisting in Compliance monitoring and production of Compliance
monitoring reports.

Candidates should have recent experience in these areas

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