CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Following significant growth in our UK office the firm is looking to recruit a Compliance Manager to be based in London to take responsibility for the private credit business in the UK which provides loan administration and related corporate services. The UK arm is an Authorised Payment Institution subject to the Payment Service Regulations.
The candidate is expected to be an appropriately skilled and qualified compliance professional and who will be understand and ensure compliance with the relevant regulatory regimes in the UK.
Hold the SM16 & SM17 functions for one FCA regulated company
Ensure the Companies are compliant with relevant legislation and regulatory requirements;
Preparing and submitting FCA returns;
Implement and undertake the compliance monitoring programme to ensure that the Companies remain compliant with all applicable regulatory and AML/CFT requirements;
Ensuring that client due diligence is collected to the appropriate standard in order to comply with the UK regulatory requirements
Review of the KYC files for new clients and identification of main issues and follow up missing information in line with group processes and procedures;
Maintaining all registers such as Conflicts of interest, reportable events, complaints from clients, etc.;
Work with the Global Client Acceptance Committee and Group Risk Function;
Follow up of audit recommendations both internal and external
Assisting in maintaining internal policies and procedures to ensure compliance with local standards as the business develops.
Undertake monitoring plan the oversight arrangements of outsourced activities;
Update FCA AD Connect system with changes in the businesses as appropriate and take ownership of compliance arrangements with SMCR for the Cortland UK business.
You will be educated to degree level or hold an appropriate qualification in compliance or
You have 5 to 7 years + financial services experience, preferably in a Compliance team environment in an FCA regulated company.
You have significant experience and knowledge of FCA requirements;
You have very good knowledge of Microsoft office 2007 (Excel, Word, PowerPoint);
You are familiar with screening tools of clients (Word-check or other similar tools);
Internal Number: 7054271
eFinancialCareers is a career site specializing in financial services.