Description
Compliance Manager
My client is looking for a contract Compliance Manager to assist with the maintenance of their compliance framework. The successful candidate will provide assurance to the Head of Compliance around compliance with all relevant regulations and industry legislation. You will also be heavily responsible for due diligence on each investment that the company makes.
Responsibilities:
* Assist with developing and implementing a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks.
* Carry out various AML due diligence checks for all key parties involved in each UK transaction.
* Review due diligence information annually for all transaction files.
* Assist with preparing standard and ad-hoc information and data reports to regulators and other stakeholders as required.
* Review compliance policies and procedures on a regular basis to ensure they comply with statutory and regulatory requirements.
Essential experience:
* Detailed knowledge of financial services regulations
* Extensive experience of due diligence
* Ideally experience working closely with Front Office teams
* Knowledge and experience of best practice compliance and governance frameworks