Key responsibility for maintaining the compliance and AML framework
This is a busy and business facing role requiring a degree of autonomy, within a successful and dynamic investment management business.
Working in partnership with the business teams and senior management in each office
Key Responsibilities:
Compliance monitoring
* Undertake the compliance monitoring programme, report on findings, make recommendations and ensure they are successfully implemented
* Assist in continuous development of compliance monitoring programme, leveraging the use of technology and analytics
* Maintain the compliance monitoring programme
KYC and sanctions
* Conduct KYC and sanctions screening
* Coordinate and conduct initial and periodic AML checks on clients and deal counterparties
* Draft reports to the Board and the Global AML Committee on AML issues
SMCR
* Maintain the register of Certified Persons
* Administer and oversee the annual certification process
* Oversee the prompt and proper creation and maintenance of key SMCR documentation
Compliance Framework
* Assist with the implementation of new FCA rules & UK regulatory requirements
* Assist in drafting the FCA returns
* Assist in drafting the periodic reports to the Board
* Maintain key documents, policies and procedures, databases and registers
Advice and Training
* Provide advice on policies and procedures to colleagues from investment management, asset management and other departments
* Respond to questions relating to compliance systems and assist in resolution of technical queries
* Assist in development and delivery of compliance training
Required Qualifications & Experience
* Degree in Law, Finance or Risk Management
* 1-2 years of experience in compliance from an asset manager is essential - please only apply if you meet this criteria