Compliance Analyst- Derivatives Review

Job type:
on-site
Start:
ASAP
Duration:
6 months
From:
Lawrence Harvey Search & Selection
Place:
London
Date:
01/23/2013
Country:
flag_no United Kingdom
project ID:
477181

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Compliance Manager - KYC - Derivatives - review - London.
My client, is undergoing a review of their Derivatives Sales and is looking for a compliance assesor to review the documentation and standards to ensure that assesments are conducted on time and efficiently ensuring that they fall in scope of the review. This is a vital role as it ensures that the right population is assessed.

Responsibilities:
-To provide a quality focused reviews, applying the Sophistication Guidance and evidence documentation standards when recording the details and outcome of the assessment.
-Ensure that assessments are conducted in a timely and efficient manner.
-Take ownership for the assessment of individual cases assigned.
-Ensure that the suitability template is completed appropriately and all required information relevant to the assessment is evidenced.
-Ensure that company guidance is adhered to and appropriately applied in context of each case.
-Ensure that documentation and evidential standards are applied correctly.
-Communicate effectively with a number of internal departments on information requests.

You must have an understanding of:
-Corporate Structures
-KYC/MiFID Client Categorisation
-Knowledge of good regulatory practices and quality assurance and business review controls.

Experience
-Minimum 2+ years in financial services, risk management or compliance
-Investment banking/Financial services accounting (product control) or regulatory compliance

Lawrence Harvey is acting as an Employment Business in regards to this position.