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| Job Title |
Compliance Manager |
| Location |
City, London |
| Salary/rate |
£40000 - £60000/annum |
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| Job number |
101187005 |
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| Posted |
03/05/2008 (18:45) |
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| Agency/Employer |
Middlesex Partnership Ltd |
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Description
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Our client, a leading city-based stockbroker / investment bank, is looking for a Compliance Manager to assist with the compliance oversight of its corporate finance, equity sales and research functions. This role will act as a deputy to the Global Head of Compliance, and will be responsible for supervising and mentoring junior staff.
The purpose of the role is to assist with carrying out the compliance oversight for the Company and to ensure that the Company complies with the regulatory requirements placed upon it by the FSA and other relevant regulatory bodies, and with all other appropriate authorities and law, through the effective provision of policy guidelines, monitoring and training programmes, compliance reviews and associated management reporting.
Liaising with law firms and advisers on transaction specific and general advisory/regulatory matters. Sitting within the trading environment.UKLA, Takeover Panel, LSE, NCIS.
General oversight of the compliance responsibilities of the firm’s sales, trading, research, corporate broking, and syndication functions, and any new business undertaken by the firm.
Person / Experience Required
Candidates should ideally come from a stockbroking / investment banking background and should be able to demonstrate a flexible, business-oriented approach to the role. The ability to develop strong relationships, possess excellent inter-personal and negotiation skills, as well as a confident, authoritative manner, is key to this role. Candidates should also be able to progress on their own initiative and should be comfortable sitting within the trading environment. |
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| Job type |
Permanent |
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| Contract length |
N/A |
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| Start date |
ASAP |
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| Contact name |
Rob Johnson |
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| Ref no |
VR/00017 |
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| Job Title |
Audit Executive |
| Location |
City, London |
| Salary/rate |
£40000/annum + Desc. Bonus + Life Insurance |
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| Job number |
101187001 |
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| Posted |
03/05/2008 (18:45) |
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| Agency/Employer |
Middlesex Partnership Ltd |
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Description
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Our Client is a leading specialist Consultancy and Outsourcing firm, offering leading edge Risk Management solutions specifically to the insurance / re-insurance industry.
Job Description
To perform Assessment & Monitoring audits of Lloyds coverholders, produce audit reports, and advise on areas of identified deficiency with proposed remedial action.
Performing Assessment & Monitoring audits covering:
Governance infrastructure and the management of binding authority activity
Company policies, procedures and controls pertaining to the conduct of (re)insurance mediation activity, with emphasis on Conflicts of Interest, Financial Crime, and Treating Customers Fairly
Capital & Professional Indemnity adequacy
Regulation and Licensing
Underwriting / Claims staff knowledge, experience, reputation and resource
Underwriting / Claims compliance with binder terms
Business plan, market analysis, risk selection framework
System processing and report production
Person / Experience Required
Skills - In depth knowledge of:
Lloyds Franchise Board requirements for the assessment, and ongoing monitoring, of Lloyds Binding Authority Coverholders.
Intermediaries Byelaw
Managing Agents Code of Practice for Delegated Underwriting
Experience:
A minimum of 5 years in an audit environment covering Lloyds Binding Authority Coverholders
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| Job type |
Permanent |
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| Contract length |
N/A |
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| Start date |
May/June |
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| Contact name |
Rob Johnson |
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| Ref no |
VR/00019 |
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| Job Title |
Compliance Manager (City Law Firm) |
| Location |
Ciity, London |
| Salary/rate |
£50000/annum |
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| Job number |
114125480 |
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| Posted |
03/05/2008 (18:45) |
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| Agency/Employer |
Middlesex Partnership Ltd |
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Description
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Job Description
Our client, a leading City based law firm, is looking for a senior compliance professional with experience of the legal industry, to take control of the Compliance department. Reporting to the Money Laundering Reporting Officer and the Finance Director, the purpose of this role is:
• To reduce the administrative burden on partners of registering new clients;
• To ensure new client information is properly obtained and appropriately recorded;
• To provide an accurate and timely information service on all compliance issues to the firm;
• To supervise the day to day running of the team, including involvement in staff recruitment and development, and to ensure that the team provides a quality service in all respects.
Responsibilities include:
• Manage and co-ordinate the new client and new matter initiation (CMI) process including client due diligence, risk assessment, appropriate conflict checks and engagement letter monitoring;
• Fully understand the current functionality of the automated CMI process and be able to work with the technical support team to further develop and enhance the functionality of the system;
• Manage and prioritise the development of enhancements to the CMI process - and work effectively with the different organisations involved;
• Understand the functionality of appropriate databases for carrying out AML and other associated regulatory and credit checks;
• Liaison with external data suppliers;
• Reviewing budgets and contracts with data suppliers;
• Liaison with the Compliance Partner and / or Compliance Committee on complex issues;
• Responsibility for ensuring staff have taken the firm’s on-line AML/ CTF training programme;
• Responsibility for training and development of CCU team;
• To develop a detailed knowledge of Regulatory issues through appropriate reading, seminars and practical experience;
• To assist with other risk or compliance activities and projects as appropriate
Person / Experience Required
• Solid experience at a senior level in a compliance environment;
• AML / compliance qualification would be advantageous;
• Strong client service focus balanced with a determination to see matters through to a satisfactory conclusion;
• Proactive and positive approach;
• Ability to remain calm under pressure;
• Good problem solving and analytical skills;
• Tact and diplomacy
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| Job type |
Permanent |
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| Contract length |
PERM |
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| Start date |
ASAP |
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| Contact name |
Rob Johnson |
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| Ref no |
VR/00020 |
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| Job Title |
Compliance Officer |
| Location |
City, London |
| Salary/rate |
£30000/annum |
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| Job number |
114125481 |
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| Posted |
03/05/2008 (18:45) |
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| Agency/Employer |
Middlesex Partnership Ltd |
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Description
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Job Description
Our client, a leading City based law firm, is looking for an experienced compliance professional, to add seniority to the team. Reporting the Compliance Manager, the purpose of this role is to provide support to the Compliance Manager to help ensure that the department provides a quality service in all respects.
• Conducting credit checks on new clients and subsequent matters
• Ensuring all client and matter set up procedures are followed correctly.
• Conducting client identification checks where necessary and ensuring our client id is up to date and meets firm policy
• Requesting KYC client documentation directly from new clients where appropriate
• Conducting conflicts checks where necessary and analysing the results to report to partners
• Assisting with confidential file openings, including conflict checks and logging on internal spread sheets
• Maintaining internal spreadsheets such as the alternative client billed, and black book
• Assisting with queries on the CMI system, chasing up outstanding file openings and providing support to the team and users.
• Assisting in the implementation of further processes on our in house on-line CMI system and assisting with testing the system before launch.
• Liaison with clients and partners on money laundering issues and conflicts issues as and when required.
• Ability to conduct checks and research Compliance information using foreign companies registries, stock exchange searches, foreign notary and lawyer directory searches.
• Assist the manager with team training.
• Analysing data provider services to ensure the department is cost effective and efficient.
• Conducting induction sessions to new joiners regarding firm policy and procedure.
• Any other related tasks within the department
Person / Experience Required
• Assertive and analytical
• Flexible
• Polite and influential in approach
• Good working knowledge of Elite, Excel, Word and Outlook. Power-point and Visio knowledge would also be an advantage
• A proactive individual who uses own initiative and works well under pressure
• Excellent communication skills - Be comfortable with all levels of personnel
Qualifications
• Legal degree not essential, although preferable
• Solid postgraduate experience of working within a Compliance and law environment preferably
• Educated to Degree level |
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| Job type |
Permanent |
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| Contract length |
PERM |
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| Start date |
ASAP |
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| Contact name |
Rob Johnson |
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| Ref no |
VR/00021 |
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| Job Title |
Compliance and Business Risk Executive |
| Location |
City, London |
| Salary/rate |
£40000/annum + Desc. Bonus + Life Insurance |
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| Job number |
101187002 |
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| Posted |
03/05/2008 (18:44) |
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| Agency/Employer |
Middlesex Partnership Ltd |
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Description
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Our Client is a leading specialist Consultancy and Outsourcing firm, offering leading edge Risk Management solutions specifically to the insurance / re-insurance industry.
The purpose of the role is to assist in the provision of a Compliance & Business Risk outsourcing service to Insurance Intermediaries, in line with prevailing regulatory requirements.
Assisting in creation / implementation / maintenance of:
FSA High Level / Prudential / Business Standards controls, policies, and procedures
Business policy standards in respect of the placing & claims processes
Compliance Manual & Audit framework
Operational procedures & controls
Management information & key performance indicators
Risk Mitigation planning & controls
Complaints handling procedures and controls
Staff profiles / appraisals / education
Standards ensuring the fair treatment of customers
Person / Experience Required
Skills - In depth knowledge of:
FSA handbook, as it applies to insurance intermediaries.
Principles of contract law in England & Wales, the Marine Insurance Act 1906, and the Law of Agency.
Market Reform in relation to contracts of, and contracts for, insurance and reinsurance.
London Market Accounting & Settlement process
Operational & Risk Management processes, as they pertain to insurance intermediaries
Experience:
A minimum of 5 years in a Compliance and / or Operational Risk Management role
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| Job type |
Permanent |
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| Contract length |
N/A |
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| Start date |
May/June |
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| Contact name |
Rob Johnson |
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| Ref no |
VR/00018 |
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