Assistant Compliance Manager
This role is provide support to BAU compliance processes for a three-month period while enhancement are made to business and operational processes.
The role will be part of the central compliance team that deals with employee conflicts management, including new joiner disclosures, personal accounts dealing, outside business activities, private investments and gifts and entertainment requests, amongst other responsibilities.
- Processing new joiner disclosures and following them through
- Reviewing, approving, escalating and recording personal account dealing, private investment and outside business activity requests in a timely fashion
- Reviewing personal account statements for policy breaches and follow-up thereafter
- Provide support to other BAU central compliance tasks
Must Have Skills:
- Experience of working with employee conflicts management in a financial institution / bank, including applicable policies, systems and processes
- Ability to deal with a high volume of incoming requests expediently and accurately and in accordance with existing processes
- Ability to make judgements by applying policies or regulation to complex, non-routine scenarios with imperfect information
- Highly proficient in MS Excel and demonstrated proficiency with MS Word
- Strong time management and organisational skills / ability to meet deadlines and work under pressure
- Strong interpersonal and communication skills
- Professional demeanour
Central Compliance is a busy and friendly team that, amongst other responsibilities, deals with daily requests regarding conflicts managements. The team has to turnaround requests expediently, accurately and in line with internal procedures. Work is largely email based.
Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003