Head Of Compliance
- Recruiter
- Core-Asset Consulting Limited
- Location
- Edinburgh
- Salary
- Competitive Salary
- Posted
- 10 Mar 2017
- Closes
- 31 Mar 2017
- Sectors
- Banking & Financial Services
- Contract Type
- Permanent
- Hours
- Full Time
Vacancy ID: 9328
Opening date: 10.03.2017
Closing date: 06.04.2017
Location: Edinburgh
Employment type: Permanent
Specialism: Investment Management - Middle Office / Compliance
Job description:
Core-Asset Consulting's client, a boutique asset management house has an opportunity for a highly experienced Compliance professional to join their Edinburgh based business on a permanent basis. The role holder will be responsible for Compliance Oversight and perform the role of Money Laundering Reporting Officer whilst holding CF10 and CF11 status.
The successful candidate will be a proactive individual with strong relationship management and communication skills and previous experience of working in a similar level of position.
Core responsibilities:
- Assist senior management of the firm in the design, implementation, and ongoing review and maintenance of systems and procedures consistent with its regulatory obligations and consistent with the objective of effective risk management
- Report to senior management and regulatory bodies and law enforcement agencies as appropriate
- Monitor the firm's compliance with regulatory obligations and provide regular reports and updates to senior management
- Ensure that all relevant firm personnel are briefed as appropriate regarding their individual regulatory obligations.
- Ensure that the firm is fully briefed as regards the implications of regulatory developments.
- Review and sign off all promotional materials consistent with the firm's regulatory obligations
- Manage relationship with relevant regulatory bodies, trustee, and outsourced service providers
- Monitor, review, and develop the firm's operational risk framework
- Ensure that the firm complies with all relevant regulatory reporting obligations
- Assist senior management in establishing and monitoring effective systems and processes to mitigate the risk of the firm being used to further the purposes of financial crime
- Establish and deliver effective training to all relevant personnel
- Perform the role of Money Laundering Reporting Officer for the firm
- Manage specific ad hoc projects allocated from time-to-time and support colleagues by contributing to the success of their projects
- Responsible, as Data Protection Officer, for ensuring that the firm complies with its obligations as regards data protection
- Provide support and assistance on human resource and employment law related issues as required
- Review contractual agreements/ terms of business, liaising with external counsel as required
Essential:
- Excellent relationship management and communication skills as well as problem solving skills together with a proven ability to understand and quickly absorb new information.
Desirable:
- Previous experience of working in a similar role
Benefits:
- Competitive salary
- Discretionary bonus
- Generous pension scheme
Job reference: 9328
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.
Opening date: 10.03.2017
Closing date: 06.04.2017
Location: Edinburgh
Employment type: Permanent
Specialism: Investment Management - Middle Office / Compliance
Job description:
Core-Asset Consulting's client, a boutique asset management house has an opportunity for a highly experienced Compliance professional to join their Edinburgh based business on a permanent basis. The role holder will be responsible for Compliance Oversight and perform the role of Money Laundering Reporting Officer whilst holding CF10 and CF11 status.
The successful candidate will be a proactive individual with strong relationship management and communication skills and previous experience of working in a similar level of position.
Core responsibilities:
- Assist senior management of the firm in the design, implementation, and ongoing review and maintenance of systems and procedures consistent with its regulatory obligations and consistent with the objective of effective risk management
- Report to senior management and regulatory bodies and law enforcement agencies as appropriate
- Monitor the firm's compliance with regulatory obligations and provide regular reports and updates to senior management
- Ensure that all relevant firm personnel are briefed as appropriate regarding their individual regulatory obligations.
- Ensure that the firm is fully briefed as regards the implications of regulatory developments.
- Review and sign off all promotional materials consistent with the firm's regulatory obligations
- Manage relationship with relevant regulatory bodies, trustee, and outsourced service providers
- Monitor, review, and develop the firm's operational risk framework
- Ensure that the firm complies with all relevant regulatory reporting obligations
- Assist senior management in establishing and monitoring effective systems and processes to mitigate the risk of the firm being used to further the purposes of financial crime
- Establish and deliver effective training to all relevant personnel
- Perform the role of Money Laundering Reporting Officer for the firm
- Manage specific ad hoc projects allocated from time-to-time and support colleagues by contributing to the success of their projects
- Responsible, as Data Protection Officer, for ensuring that the firm complies with its obligations as regards data protection
- Provide support and assistance on human resource and employment law related issues as required
- Review contractual agreements/ terms of business, liaising with external counsel as required
Essential:
- Excellent relationship management and communication skills as well as problem solving skills together with a proven ability to understand and quickly absorb new information.
Desirable:
- Previous experience of working in a similar role
Benefits:
- Competitive salary
- Discretionary bonus
- Generous pension scheme
Job reference: 9328
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.