Compliance Team Leader

4 weeks ago

Belfast, United Kingdom Hayward Hawk Professional Services Full time

The Compliance function is responsible for proactively engaging with the business to provide clear advice and support to:

- Ensure the group continues to meet all applicable regulatory requirements
- Protect the group and its staff from regulatory sanction
- Maintain its reputation as an IDB which acts with honesty, integrity, respect and excellence

The Team Leader will be responsible for the supervision of a team in Belfast in conjunction with the line manager to help deliver the departmental goals.

**Responsibilities**:

- Overall responsibility for the effective supervision of one of the Belfast teams with a goal of executing elements of the Compliance monitoring program with the aim to achieve continuous improvement of the function to meet and exceed he expectations of the business
- Provide feedback and assessment to line manager regarding the activities and performance within the team
- Ensure that policy and procedure documents are maintained, and update as and when appropriate, to reflect the way in which the team operates
- Take ownership where necessary of any issues that may arise in the day to day operating model of the team
- KPI reporting is relevant

**Responsibilities**:
Assisting with the processes undertaken by the Employee Compliance function including, but not limited to:

- Effectively follow steps designed for end to end processing of brokers Certification under SMCR
- Review outcome of attestations submitted by brokers in Redland and assess if any follow up or escalation is required
- Providing access to professional qualifications and training through learning providers
- All aspects of registered persons requirements in respect of US branch registrations, NFA registrations and 15a-6 waivers
- Assigning and chasing of Compliance training across EMEA and maintenance of those records
- New Joiner processing; training set up, sending of policy documents, competency assessments
- Reconciliation of PA Dealing requests and associated contract notes
- Reconciliation and processing of regulatory/training invoices
- Collate and produce monthly EMEA Compliance Management Information
- Administration of Exchange Registrations
- Compliance generic mailbox management. Redirecting queries to appropriate Compliance colleagues
- Seeking confirmation that certain tasks have been conducted as per Compliance Control Framework
- Assisting with ServiceNow queries from the business in relation to Conflicts of Interest and PA Dealing approvals
- Assisting with ad hoc work, investigations and project issues as required
- Ensuring that compliance documentation and procedures in respect of individual responsibilities are regularly reviewed and updated
- Remaining informed of changes to the regulatory environment

**Requirements for the role**:

- Previous experience gained working in a financial services firm undertaking Compliance Administration essential.
- Knowledge of the FCA’s Senior Managers and Certification Regime preferred.
- Delivering Business Success - Desiring Quality - pays attention to detail, checks own work for accuracy and quality and takes personal responsibility for achieving quality standards. Sets goals and targets for self which improve upon previous performance and constantly strive to exceed existing quality and service standards.
- Providing Direction - Thinking Strategically - Understands own business’ targets and goals and fully understands the competitive context in which it operates and looks for ways to add value to the organisation. Periodically steps back from immediate operational concerns to check progress against broader goals and their fit with the organisation’s strategic objectives.
- Excellent communication and interpersonal skills.
- Flexibility to take on other team roles as the workload demands

Ability to work under pressure, responding to urgent queries accurately and effectively.

**Benefits**:

- Life Insurance
- Private Medical
- Pension
- Eye care scheme
- Bonus

**Job Types**: Full-time, Permanent

**Salary**: £34,000.00-£38,000.00 per year

**Benefits**:

- Free parking
- On-site parking

Schedule:

- Monday to Friday

Work Location: In person

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