Vacancy Name
Senior Compliance Officer
Vacancy No
VN965
Contract Type
EFT
Duration
Location
London
Description
OVERALL PURPOSE
The Senior Compliance Manager will work in the UK Risk and Compliance team supporting the Stonehage Fleming UK regulated entities that provide Asset Management, Financial Advice, Family Office, and Custody Services. The key responsibilities will be advising on UK & EU regulation across our Firms, with a particular focus on Client Money and Assets (CASS rules). The individual will take the lead with the firm Stonehage Fleming Dealing and Treasury. The role will also manage on-going Risk & Compliance projects and develop sector specialisms as required. This would suit a Regulatory or Funds Lawyer looking to move into a Compliance.
Key Responsibilities
PRINCIPAL ELEMENTS AND ACCOUNTABILITIES
Compliance
• Providing advice and guidance on regulatory matters to the business
• Managing risk and compliance focused projects and playing an active role in business projects
• Providing compliance review and oversight on a range of topics. FCA permissions, client money and assets, investments and trading.
• Drafting and maintaining policies and procedures
• Conducting regulatory horizon scanning and assessing the impact on the business
• Reviewing and approving financial promotions and communications to ensure that they meet FCA standards
• Preparing and delivering regulatory training to the business
• Preparing compliance MI and reports for inclusion in Board and Committee packs
• Developing subject matter expertise
• Filing compliance returns with relevant regulators
• Make recommendations to the business to assist with the investigation and rectification of compliance related breaches
Risk Management
• Identification and assessment of regulatory and operational risks
• Monitoring risk across all areas of the business, and supporting and advising the business on the implementation of new or enhanced controls to manage risks
• Initiating corrective actions with the business where required
QUALIFICATIONS AND EXPERIENCE
• Experience in Custodian, Investment Management, or Wealth Management Compliance, or a Regulatory or Funds Lawyer looking for a move into Compliance.
• Good working knowledge of FCA and European Regulations, specifically CASS, COBS and MIFID
• Understanding of financial markets, investment vehicles and client servicing standards
• Experience of evaluating and communicating regulatory topics
• Project management experience around regulatory change and development
• Drafting, defining, implementing and maintaining policies and procedures.
• Developing and delivering a Compliance Monitoring Plan for the Custodian business
COMPETENCIES, SKILLS AND BEHAVIOURS
• Strong interpersonal skills with the ability to influence and interact at all levels and who is credible in front of the business
• Strong communication skills, both verbal and written
• Excellent attention to detail
• Team player with a positive and flexible attitude
• Self-motivated to achieve goals to improve own and company performance
• Questioning, probing and challenging mind-set
• Excellent analytical and problem-solving skills
• Works well under pressure and to tight deadlines
• Honesty and integrity
Education Level
Degree or Equivalent
Experience Level
Mid Level
Benefits
Senior Compliance Officer
Vacancy No
VN965
Contract Type
EFT
Duration
Location
London
Description
OVERALL PURPOSE
The Senior Compliance Manager will work in the UK Risk and Compliance team supporting the Stonehage Fleming UK regulated entities that provide Asset Management, Financial Advice, Family Office, and Custody Services. The key responsibilities will be advising on UK & EU regulation across our Firms, with a particular focus on Client Money and Assets (CASS rules). The individual will take the lead with the firm Stonehage Fleming Dealing and Treasury. The role will also manage on-going Risk & Compliance projects and develop sector specialisms as required. This would suit a Regulatory or Funds Lawyer looking to move into a Compliance.
Key Responsibilities
PRINCIPAL ELEMENTS AND ACCOUNTABILITIES
Compliance
• Providing advice and guidance on regulatory matters to the business
• Managing risk and compliance focused projects and playing an active role in business projects
• Providing compliance review and oversight on a range of topics. FCA permissions, client money and assets, investments and trading.
• Drafting and maintaining policies and procedures
• Conducting regulatory horizon scanning and assessing the impact on the business
• Reviewing and approving financial promotions and communications to ensure that they meet FCA standards
• Preparing and delivering regulatory training to the business
• Preparing compliance MI and reports for inclusion in Board and Committee packs
• Developing subject matter expertise
• Filing compliance returns with relevant regulators
• Make recommendations to the business to assist with the investigation and rectification of compliance related breaches
Risk Management
• Identification and assessment of regulatory and operational risks
• Monitoring risk across all areas of the business, and supporting and advising the business on the implementation of new or enhanced controls to manage risks
• Initiating corrective actions with the business where required
QUALIFICATIONS AND EXPERIENCE
• Experience in Custodian, Investment Management, or Wealth Management Compliance, or a Regulatory or Funds Lawyer looking for a move into Compliance.
• Good working knowledge of FCA and European Regulations, specifically CASS, COBS and MIFID
• Understanding of financial markets, investment vehicles and client servicing standards
• Experience of evaluating and communicating regulatory topics
• Project management experience around regulatory change and development
• Drafting, defining, implementing and maintaining policies and procedures.
• Developing and delivering a Compliance Monitoring Plan for the Custodian business
COMPETENCIES, SKILLS AND BEHAVIOURS
• Strong interpersonal skills with the ability to influence and interact at all levels and who is credible in front of the business
• Strong communication skills, both verbal and written
• Excellent attention to detail
• Team player with a positive and flexible attitude
• Self-motivated to achieve goals to improve own and company performance
• Questioning, probing and challenging mind-set
• Excellent analytical and problem-solving skills
• Works well under pressure and to tight deadlines
• Honesty and integrity
Education Level
Degree or Equivalent
Experience Level
Mid Level
Benefits