Compliance Professionals

Every year we look at the data provided by our clients and candidates to create our sought-after salary guide. Our experienced consultants have combined their industry insights and analysis of the compliance and financial services market to bring you this pack. If you would like a copy, please follow the link below. We hope you find this report useful, do keep checking our website and social channels as we will continue to provide sector-specific updates throughout 2023! https://d36.co/1bffp #salaryguide #compliance #compliancesalaryguide

Job of the Week! Role: Compliance Assistant - Financial Services Salary: Up to £30,000 pa + benefits Duties: Investigating and responding to alerts, including conducting reviews of client accounts and where necessary following up with clients and/or escalating to the manager Day-to-day compliance monitoring including managing alerts, and internal and external queries. Conducting customer interactions by email and telephone Conducting affordability assessments to determine whether a client’s deposits are affordable and requesting further information where necessary. Carrying out and analysing KYC checks including enhanced due diligence checks and Document Verification checks on clients. Assisting the Head of Compliance with on-going projects to support the smooth running of the Compliance function. For further information, please contact Natalie Eshelby - natalie.eshelby@complianceprofessionals.co.uk

Job of the Week! Role: Compliance Officer- Investment Management Salary: Up to c£110,000 pa Duties: Assisting in the development and delivery of relevant compliance policies and procedures; Staying abreast of and advising the business on relevant regulatory changes that impact the strategy, including but not limited to the CSSF and other relevant regulators; Interpreting the impact on the business of regulatory changes and driving the implementation of proportionate and effective system and control changes to ensure compliance; Providing timely regulatory advice to the business, including in support of new business initiatives; assisting business leaders within the strategy to embed relevant policies and procedures; Assisting in the development and delivery of relevant and timely compliance training; Maintaining adequate systems and controls to prevent the strategy being used in the furtherance of financial crime, including but not limited to money laundering, counter terrorism, and bribery; Process management support including KYC and AML checks; enhanced due diligence; oversight of documentation including with service providers, record keeping and filing, Provide input, support and guidance for the completion of initial and ongoing due diligence, including Anti-Bribery and Corruption due diligence, for new investments, including enhanced due diligence; and Providing timely reporting to key stakeholders on relevant matters. Compliance leadership - Ensure the strategy receives timely and relevant compliance and prevention of financial crime support and that there is suitable resource and experience, either internally or externally sourced, to deliver this. For further information, please contact Duncan Jeffery - duncan.jeffery@complianceprofessionals.co.uk

Job of the Week! Role: Compliance Monitoring and Surveillance Officer Salary: £Market Rate Duties: Provides adequate support and guidance to enhance compliance efforts. Escalates to Head of Compliance any issues/findings that may involve violations of rules and/or regulations. Assist in the implementation of adequate controls and quality assurance processes to detect and address potential compliance problems. Undertake MAR surveillance, reviewing alert settings and testing system parameters Create and document daily alert review and escalation process for MAR Surveillance Production of Best Execution reports Review/build out Compliance Monitoring Plan / Surveillance programme, assisting the wider compliance team Undertake monitoring reviews in line with the Compliance Monitoring Plan Monthly e-communication and voice recording reviews Review and respond to email surveillance alerts, analysing trends and escalating as appropriate Assist with project to automate the Conflicts register and OBI process Creation of departmental procedures relevant to the above tasks Identify and escalate current regulatory issues to ensure the firm remains in compliance with its obligations. Ability to research, interpret and translate regulatory rules and regulations into policy. Participate in corporate policy discussions related to compliance. Report compliance monitoring and surveillance program status and activities. Provide assistance with relevant external/internal examinations, ensuring that requested information and reports are provided. Production of monthly Management Information in respect of monitoring and surveillance program and ad-hoc reports as required Perform other duties and responsibilities as assigned. For further information, please contact Natalie Eshelby - natalie.eshelby@complianceprofessionals.co.uk

Job of the Week! Role: Compliance & Risk Officer - Asset Management Salary: Up to £80,000 Duties: Supporting the CRCO in advising the business to ensure compliance with all applicable regulatory requirements, managing future regulatory change and responding to risk matters.  Advising on regulatory change projects; conducting gap analysis; and delivery of in-depth thematic reviews. Participate in trade body responses to consultations on regulatory matters. Oversight of company marketing materials. Compliance review of all relevant client/prospect/consultant communications (e.g. presentations, reports, DDQs, RFPs, website updates) in an accurate, commercial and timely manner. Daily review of cash, trade and position data. User of the Order Management System (thinkFolio) in creating and modifying system rules and clearing daily alerts. Team work leading to the accurate and timely input, review and oversight of client restrictions including reviewing the breach finder in thinkFolio. Facilitating the accurate, timely filings of statutory / regulatory disclosures and filings (in particular large holdings and takeover panel disclosures). Responsible for the completion of security set-up checks and activation. Assist in the design, development and execution of the assurance work and periodic tasks; importantly helping to produce the annual Governance, Risk and Compliance (GRC) review. Working with the team on anti-financial crime activities, including financial crime risk assessments; AML reviews; sanction screening; market abuse and other financial crime monitoring. For further information, please contact Spencer Evans - spencer.evans@complianceprofessionals.co.uk

Below is a selection of the live vacancies we are currently working on at Compliance Professionals. For more information on our wide range of roles, please go to https://lnkd.in/ecVUt2k5

Job of the Week! Role: Compliance Officer- Private Equity Salary: Up to £110,000 My client is launching a new strategy… Do you have: -Private Equity experience -Exposure to Regulators in the UK &/or Lux -Knowledge of high risk clients     Then - we need to speak! Tasks: Assisting in the development and delivery of relevant compliance policies and procedures; Staying abreast of and advising the business on relevant regulatory changes that impact the strategy; Interpreting the impact on the business of regulatory changes and driving the implementation of said regulation change; Providing timely regulatory advice to the business, including in support of new business initiatives; Assisting business leaders within the strategy to embed relevant policies and procedures; Assisting in the development and delivery of relevant and timely compliance training; Maintaining adequate systems and controls to prevent the strategy being used in the furtherance of financial crime; Process management support including KYC and AML checks; enhanced due diligence; oversight of documentation; Provide input, support and guidance for the completion of initial and ongoing due diligence; Providing timely reporting to key stakeholders on relevant matters. For further information, please contact Duncan Jeffery - duncan.jeffery@complianceprofessionals.co.uk

Job of the Week! Role: Quality Assurance Analyst (Monitoring)  Salary: Up to £60,000 depending on experience Description: Conduct monitoring in relation to Front Office activities using a combination of regular and exception-based monitoring. Liaise with Certified Persons and their support staff in Client Facing Teams to remediate issues identified. Analysis of key business metrics to inform risk identification and escalation. Production and analysis of Management Information. Report to key stakeholders and governance forums. Review and testing effectiveness of existing controls. Review and recommendation of policy and procedures enhancements. Conduct thematic review work informed by wider findings or concerns raised within the business Liaise and assist, as required, with other Business functions, including, Risk and Compliance, Business Support and Internal Audit in all matters pertaining to monitoring and Investment Governance work. For further information, please contact Spencer Evans - spencer.evans@complianceprofessionals.co.uk For more information on our wide range of roles, please go to https://lnkd.in/ecVUt2k5

Below is a selection of the live vacancies we are currently working on at Compliance Professionals. For more information on our wide range of roles, please go to https://lnkd.in/ecVUt2k5

Job of the Week! Role: Head of Compliance- Banking Salary: £Market Rate Description: Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and regulatory requirements Keep up to date with applicable legal and regulatory requirements and obligations and ensure these are communicated to the senior management team and business Advise on regulatory requirements of any new business or new products. Provide compliance, anti-money laundering, financial crime and conduct rules training to the Branch’s management, business heads and other staff Induction training to new joiners. Monitor the Branch’s regulated activities to identify situations in which the Branch has not acted in accordance with its regulatory responsibilities Escalate any issues Monitor news of relevant enforcement actions by regulators and communicate these and any necessary actions to the senior management team. Responsible for the interaction with the PRA and FCA. Promote a good compliance culture by engaging staff from all around the business. Ensure responsibilities are carried out under FCA “Required Function” SMF16/17 & Money Laundering Reporting Function, Compliance Oversight Function. For further information, please contact Natalie Eshelby - natalie.eshelby@complianceprofessionals.co.uk For more information on our wide range of roles, please go to https://lnkd.in/ecVUt2k5