• Perform an advisory role supporting the business in discharging its regulatory obligations
• Act as a point of contact for regulatory enquiries from multiple business areas and providing time-sensitive advice and guidance
• Assist with the monitoring of the Compliance email inbox and provide compliance advice and guidance to the business, where necessary
• Keep abreast of current and upcoming regulatory developments and assisting in incorporating them into processes and procedures
• Respond to requests for advice from the front office, operations and other business areas and provide the appropriate level of support to either resolve or escalate the matter being referred
• Review and approve financial promotions
• Review and approve requests for personal account dealing
• Carry out identity verification checks on clients of different types for AML purposes
• Escalate any significant issues, weaknesses or outstanding action items to the Compliance Manager
• Prepare compliance reports and MI for other members of the Compliance Team and senior management
• Assist other members of the Compliance Team and undertake ad-hoc compliance related projects, as required
What experience are they looking for?
• Familiarity with the key FCA Sourcebooks (COB’s particularly 2 and 6)
• Knowledge of the JMLSG Guidance Notes
• Knowledge of at least two of Financial Promotions, G&E, PA dealings, transaction approvals.
With a team of over 200 and growing every day, Goodman Masson is one of London’s specialist Finance and Technology recruitment businesses. Voted ‘Best Recruitment Company to Work For’ in 2018, our passion for what we do is clear.
Based in London, Düsseldorf and New York, we hold annual revenues exceeding £42 million. This includes Qualified & Part-Qualified / Transactional Finance, Actuarial & Investment Management, Audit, Banking Operations, Compliance & Financial Crime, Front Office, Housing Development, Information & Cyber Security, Technology, Digital & Data, Product Control & Valuations, Projects, Change & Transformation, Risk & Regulation, Tax and Treasury.
We also have a Solutions team who provide RPO, hybrid and volume recruitment services. Alongside this, Goodman Masson have developed an Executive Search team who focus on sourcing C-suite talent to fee earning Legal partners.