An opening exists in the Rules & Compliance team (R&C) for a fixed term contractor. The assignment will run for 12-14 months with the possibility of becoming permanent after the intial duration. We are looking for someone with SMCR knowledge OR someone that holds/has held an FCA regulated position (CF10/CF11)
The key responsibilities of the role include, but are not limited to:
- Provision of Compliance input to the Senior Managers and Certification Regime (SMCR)
- provision of compliance support on all regulatory matters including: new business initiatives; regulatory analysis of relevant legislation, rules and guidance; and liaison with, including the making of any relevant notifications to the FCA.
- oversight of compliance with the FCA's rules on systems and controls against money laundering and the provision of an annual MLRO report to the Governing Body.
- establishment of a suitable monitoring programme, oversight of its delivery.
- monitoring completion and timely submission of routine reports to the FCA.
- Motivation & Flexibility
- Stakeholder Management
- Strong Regulatory knowledge (FCA, SMCR)
- Experience of working within the financial services industry - trading venue experience would be preferable but is not essential.
McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.