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Compliance Assurance Officer

  • Location: London
  • Salary: Up to £354.38 per day per day
  • Job Type:Contract

Posted almost 2 years ago

  • Sector: Defence & Aerospace, Engineering, IT
  • Contact: Lauren Morley
  • Contact Email: l.morley@jamrecruitment.co.uk
  • Duration: 3 Months
  • Start Date: ASAP
  • Client: BAE Systems
  • Expiry Date: 08 June 2022
  • Job Ref: BBBH78705_1651051048

Compliance Assurance Officer - London Based (Burwood House) - £354.38 per day Umbrella Inside IR35 - 3 Month Contract initially.

This is a great opportunity to work within one of the UK's leading Defence organisations based in London.

Daily Activities:-

  • 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.
  • Develop and update the Bloomberg and Dynamo analytical tools to improve assurance testing, including Bloomberg AIM compliance rules
  • 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 sixmonthly 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

Experience required:-

  • FCA regulatory knowledge is essential
  • 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
  • Experience in the investment management or OPS sector required.
  • Internal audit or assurance experience preferred.
  • Good working knowledge of the FCA regulatory environment
  • Understanding of how the Compliance function integrates with other areas within the business

For more information please contact Lauren Morley at JAM Recruitment or click apply.

JAM Recruitment is acting as an employment business with regards to this position.

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