Due to substantial growth, a well established finance company is seeking a Compliance Manager to support the Head of Risk and Compliance and in implementing and maintaining compliance monitoring framework, 2nd line testing and controls and general compliance oversight, acting as a senior member of the team with mentoring responsibility for two compliance officers. The role will in time progress to managing the team.
The Company is currently awaiting approval of its Banking Licence which is part of a longer term growth strategy and presents a really interesting time to join the business.
Key responsibilities include but not limited to; * Responsibility for supporting the design, implementation and management of the Compliance Monitoring Programme * Keeping up to date with FCA and PRA regulations affecting the business and advising stakeholders accordingly of current and future requirements * Together with the MLRO, supporting the report on the adequacy of the firms' money laundering procedures, and reviewing transactions and potential suspicious activity reports in line with policy and regulations. . This is an exciting opportunity is within a subsidiary of a multinational Fund Manager. The highly respected company not only offers the opportunity to operate within an existing successful team but also the prospect to further develop your career on a more independent and autonomous level.
As an experienced Compliance professional you will have already gained an extensive experience within a generalist or monitoring compliance role within either the banking, finance or mortgages industry. You will have ideally also supervised or managed a small team in the past.
Please quote LBW1610-198 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.
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