Deputy Head of Compliance Monitoring

2 weeks ago

London, United Kingdom Compliance Professionals Full time

We are working with a regular client of ours who are searching for a Deputy Head of Compliance & Deputy MLRO. You will Support the Head of Compliance/MLRO to deliver second line oversight of company’s activities to ensure the business operates within its regulatory permissions/applicable regulation & build and maintain a strong compliance framework and culture. Assist in the identification of regulatory/reputational risk and in the development, implementation, monitoring and maintenance of applicable policies, procedures and internal controls to maintain a strong compliance framework with a view to managing/mitigating compliance risk;
Oversee the trade monitoring function undertaken by the Compliance Team; support the Compliance Team in the escalation/resolution of issues as they arise and the enhancement of monitoring tools/processes;
Review reports, risk indicators and red flags to identify and propose remedial action to improve the control framework.
Undertake daily compliance monitoring (as applicable) including the best execution price check and commission override exceptions report;
Deliver on-going support to the business including advice on exchange rules, regulation and internal policies/procedures;
Ensure the timely identification of regulatory change, assess the impact on the business, revise/implement applicable policies/procedures as necessary;
Assist in the documentation of regulatory reviews and updating of the Compliance Monitoring Plan;
Assist with the maintenance of the Compliance and Financial Crime Manual;
Assist in the submission of regulatory report filings and surveys;
Maintain regulatory logs, such as breaches, third party payments, gifts, complaints etc.;
Strong knowledge of UK/EU regulatory framework

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