Senior Compliance Officer

  • £80,000
  • Londres, Angleterre, Royaume-Uni Londres Angleterre GB
  • CDI, Plein-temps
  • Lawbrook Finance
  • 09 juil. 18 2018-07-09

A leading market maker and corporate finance house require an experienced generalist to join their London team. Working as a number two, you will provide advice, undertaking Compliance monitoring, analyse and resolve conflicts, reviewing disclosures and updating the insider/restricted lists.

  • Must have previous experience in supervising junior staff members 
  • Ability to ensure that the Department’s internal and internal deadlines are met within the required time limits
  • Guide junior staff members in terms of technical and  regulatory knowledge
  • Maintaining, updating and carrying out the monitoring programme and reporting the results to Head of Compliance
  • Creating and maintaining the FCA positions report and any disclosures if required
  • Keep conflict checks register up to date and undertake checks for new CF clients/transactions
  • Reviewing and updating research disclosures as required
  • Responding to trading alerts generated by the Market Abuse monitoring system
  • Approving, issuing standard emails and keeping the Insider Register up to date
  • Day to day compliance advice escalating questions and issues as appropriate
  • Updating the restricted list on a daily basis
  • Preparation, filing and logging of suspicious activities and reports to the FCA
  • FO dealing and CF – AML checks and client categorisation when taking on new clients
  • Daily and weekly Takeover Panel disclosures
  • Assistance with thematic reviews and/or any regulatory updates
  • Registration/de-registration with FCA via Connect
  • Advising on the preparation of TR-1’s if applicable
  • Performing directors and companies checks for companies and directors connected to our Corporate Finance department
  • Assisting/making routine Gabriel filings
  • Gathering information and documentation for regulatory requests, audits and inquiries
  • Populating the events database and supporting the Head of Compliance in risk initiatives.
  • Conducting in-depth execution and trading reviews and summaries on a quarterly basis
  • Conducting Corporate Finance closing binder reviews on a monthly basis
  • Approving and logging all dealing by firm personnel
  • Attend New Business Committee meetings in the absence of the Head of Compliance
  • Maintaining the compliance calendar
  • Attending the Corporate Finance weekly meetings and taking compliance minutes
  • Maintaining the compliance electronic filing system and ensuring completeness and up to date information
  • Maintaining and keeping up to date, the various policies and procedures manuals of the firm
  • Conducting email and telephone communications retrieval when necessary
  • Ad hoc duties as required
  • Hosting firm-wide and business specific training sessions
  • Maintaining staff training and competency skills using the firm’s online training facility