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Our client a private equity investor require a Compliance Manager for Maternity cover to start from late August for around 9 months.
Main purpose of role:
* Providing compliance assistance to the Group in co-ordination with the COO, Head of Legal (Corporate) and the Head of Risk & Compliance * To ensure that the Group and its employees understand their obligations in order to comply with all relevant regulations and legislation* Ensuring the Group compliance manuals are maintained with the latest policies, and drafting the policies therein* Responsible for the Group's SMCR programme and ensuring that the continuing obligations this entails are met* Ensuring that the Group's AML obligations are met and the overseeing of the completion of all necessary AML / KYC checks* Assist in the answering of all inbound AML / KYC queries with regards to checks that are being performed on the Group, including preparation of AML Letters* Responsible for ensuring that the Group receives all required compliance training (e.g. Anti-Money Laundering, Anti-Bribery and Counter-Terrorist Financing, Cybersecurity) and other regulatory issues * Training and mentoring of Legal and Compliance Team Analyst
Main duties and responsibilities:
* Draft any applications necessary to be made to the FCA (eg Application for Authorisation, Variation of Permissions etc) and follow through the process to submission and approval* Ensure that any necessary FCA returns are completed and returned promptly (eg confirmation of Firm's details, Covid-19 Impact Surveys, Change of Control etc) * Drafting of RNS announcements where necessary with regards to PDMR disclosures* Review and assist with any NDA enquiries * Devise, update and maintain Group-wide compliance policies, procedures, processes and reports * Responsible for running the Group's quarterly Board Meetings: creating an agenda, preparing meeting packs, conducting the meetings and writing up the subsequent minutes * Oversee annual external compliance consultants' visits to the Group and ensuring that all recommendations that arise subsequent to the visit, are followed through and completed* Provide high-level compliance training for all new employees on an individual basis to ensure their understanding of their compliance obligations* Responsible for rolling out new employee and periodic (initial, quarterly and annual) Compliance Declarations* Keep abreast of legal, regulatory and market practice updates* Liaise with external compliance consultants when assistance / advice from them is required* Maintain an up-to-date firm-wide Restricted List* Maintain up to date conflicts of interest register* Maintain and create all necessary insider lists to comply with MAR* Manage all Group employee trade requests* Maintain the compliance calendar to ensure all regulatory deadlines are adhered to* Maintain various compliance registers (e.g. gifts and entertainment, political donations, PA dealing, conflicts of interest, external interests, internal beaches etc)* Maintain and update employee external interests on a periodic basis and manage conflicts* Assist with the review and approval of financial promotions * Maintain the Group's online compliance portal* Ensure that the Group's internal structure charts are kept up to date* Answer any ad hoc compliance queries that may arise from Group employees* Preparing and distributing monthly Compliance Newsletters to the Group
The salary on offer is 60-75K (pro rata) subject to experience
If you feel you have the suitable level of experience please send your Cv for consideration.
*Where a level of experience is indicated, this is a guideline only and represents the amount of time we would usually expect a candidate to accumulate the requisite level of experience. This does not preclude applications from candidates with more or less experience.
Chadwick Nott Ltd is acting as an Employment Business in relation to this vacancy.