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Compliance Assurance Officer

  • London
  • Contract
  • £328.02 - £368.02 per day

Compliance Assurance Officer

Role Summary

We have an exciting new contract opportunity based in Central London as a Compliance Assurance Officer.

The role will be an initial 3-month contract and will provide you with the opportunity to be involved in monitoring and testing of processes, procedures and business activities as well as thematic deep dives to provide assurance of adherence to the requirements by the firm.

Key Responsibilities

  • Produce daily MI reports, monitor Takeover Panel changes, analyse custodian records, Bloomberg message alerts and compliance rule violations and escalate to Head of Compliance where corrective action required.
  • Carry out daily best execution monitoring and market abuse checks on transactions and escalate concerns to Head of Compliance.
  • Maintain Personal Account Dealing and Gifts & Hospitality registers and produce regular analysis reports of Personal Account trading activity / Gifts & Hospitality notifications.
  • Carry out ongoing monitoring in accordance with the Compliance Monitoring Programme. Escalate to Head of Compliance and work with the business to resolve any issues identified.
  • Produce quarterly assurance report on findings and advise Head of Compliance and Senior Management of adverse findings and proposed corrective action for consideration and approval.
  • Analyse regulatory requirements for investment managers and outsourced service providers and review activities to test compliance with the FCA Handbook, insider dealing and anti-money laundering legislation and our clients’ Operational Framework.
  • Develop and update the Bloomberg and Dynamo analytical tools to improve assurance testing, including Bloomberg AIM compliance rules
  • Carry out quarterly review and independent testing of Financial Control Framework procedures and recommend suggested process improvements in line with our client.
  • Carry out half yearly independent testing and walk through of procedures for front office, middle office and finance. Produce report of findings and suggested process improvements for consideration by relevant teams.
  • Assist with provision of KYC documentation to brokers and counterparties and assist with the KYC analysis of potential investment opportunities as required.
  • Advise employees on DCRD policy and upload Compliance documents to the Record Centre. Conduct six-monthly DCRD compliance reviews.
  • Provide cover to the Regulatory Compliance Officer role as required.
  • Represent the Compliance team at quarterly BCP meetings.
  • Maintain and develop the Compliance Monitoring Programme to reflect the evolving needs of the business and regulatory changes.

Key skills & qualifications

  • FCA regulatory knowledge is essential (minimum 5 years experience)
  • Meticulous attention to detail.
  • Able to analyse information to formulate questions and recommendations
  • Able to develop compliance monitoring programme
  • Good knowledge of compliance assurance reports and thematic reviews
  • Able to manage assigned tasks as well as any ad hoc that arise

What we’re looking for in you

  • Excellent verbal and written communication skills.
  • Well-developed analytical/ problem solving/ decision making skills.
  • Strong organisational skills who is adaptable in a fast-paced environment.
  • Stakeholder management skills.

Location: Westminster

Rate: £368.02 per day (inside IR35)

AAP3 is acting as an Employment Business in relation to this vacancy.

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