UK Compliance Manager
- Recruiter
- Taylor Root
- Location
- England, London, City of London
- Posted
- 27 Nov 2015
- Closes
- 25 Dec 2015
- Ref
- 1126200
- Contact
- Chris Haynes
- Vacancy Type
- Other
- Contract
- Permanent
- Hours
- Full Time
- Practice Areas
- Banking/Finance, Regulatory/Compliance, Funds, Real Estate, Regulatory/Compliance (except Banking/Finance)
- Experience Level
- Management/Head of Department
RESPONSIBILITIES
Ensure regular reporting to the Global Head of Compliance and UK Real Estate Management
Half yearly reporting to the Internal Control Committee
Periodic reporting to Real Estate Group Compliance
Maintain good communication with and inform the UK International Financial Services Compliance Coordinator of main Compliance issues
Ensure compliance with financial crime requirements
RESPONSIBILITIES WITH OUTSIDE AUTHORITIES
Co-ordinate regulatory examinations (RICS, FCA) and any other investigations prompted by requests from clients or their counsel.
Prepare responses to routine examinations, audits and other enquiries
Interface directly with regulators and authorities on an as-needed basis
Registered as the Approved Person with the FCA for both the Compliance and MLRO roles.
POLICIES AND PROCEDURES
Ensure that the UK Real Estate business Compliance policies and procedures are reviewed and updated on an annual basis.
Follow-up of Compliance related findings & recommendations.
Establish specific UK Real Estate or adapt Real Estate Compliance policies and procedures when required.
CLIENT'S ACCEPTANCE, COMPLIANCE CONTROLS & MONITORING
Validate commercial advertising and marketing material prior to release (brochures, presentations, press statements).
Carry out regular 2nd Level controls on adherence to Compliance policies and procedures.
Oversees the review and validation on an ad-hoc basis of the Sensitive clients
NEW PRODUCT AND SERVICES VALIDATION
Take part in the validation process of new products and services.
Ensure that products and services comply with local laws and regulations.
ETHICS
Ensure that the Code of Ethics is given to all new employees.
Perform 1st or 2nd Level controls to ensure that group Ethical Requirements are adhered to.
Investigate any situation where an employee's conduct / ethics might be questioned.
TRAINING
Continually promote Compliance awareness and a strong Compliance culture.
Ensure that all staff are appropriately trained on Compliance requirements, including training for new employees joining the Company.
Keep a record of all the training sessions relating to Compliance.
SUSPICIOUS ACTIVITIES REPORTING
Perform MLRO duties for all activities within the UK Real Estate business
Report to the Board on control and compliance issues
Ability to direct and influence the Business with regards to compliance and control matters
Understanding of the current products/services being provided by the Real Estate business in the UK.
PERSON SPECIFICATIONS
Relevant qualification in Internal audit/compliance
Good knowledge of applicable regulations under which the business must operate (both RICS and FCA)
Excellent communication and interpersonal skills with an emphasis on strong written communication
Ability to direct and influence the Business with regards to compliance and control matters
Understanding of the current products/services being provided by the Real Estate business in the UK.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.