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Lead responsibility for design improvements to and implementation of specific sections of the Compliance Monitoring plan.
Reporting on results of monitoring plan tasks, including creation and enhancement of MI and suggestions for control enhancements.
Scope, conduct and reports on specific risk assessments, policy review and compliance review projects based on applicable regulations and internal policies and procedures, engaging with stakeholders around the company.
Support, as necessary, other Compliance team staff in completing routine monitoring and other required tasks.
Manage defined day-to-day and ad-hoc compliance tasks - for example FCA Form submissions.
Develop and provide bespoke face to face training to the business and other compliance staff on regulatory and compliance issues.
Experience in scoping and running compliance monitoring & assurance reviews and risk assessments.
Strong knowledge and practical application of the FCA Handbook including Conduct of Business Sourcebook (COBS), Senior Management Arrangements, Systems and Controls (SYSC) and Market Conduct (MAR) as well as key EU legislation: MiFID II, MAD/MAR and EMIR.
Experience of NYMEX, ICE, the LME and OTC markets is desirable but not essential.
Working knowledge of rules and guidance in respect of Customer Due Diligence (CDD) including but not limited to JMLSG, FATF & FCA desirable but not essential.
Internal Number: 6309629
About Michael Page Financial Services
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