Assistant Compliance Manager Regulatory Policy

Posted 9 April by Hays Specialist Recruitment Limited Easy Apply

Assistant Compliance Manager (Regulatory Policy)

Department: Compliance - Regulatory Policy & Services

Day Rate: £350 - £400 a day Length: 3 months

Leading international bank are looking to hire an Assistant Compliance Manager to work in their Regulatory Policy and Services department. The candidate will provide regulatory services across the Banks Capital Markets, Wealth Management, Global Asset Management and Investor & Treasury Services London platforms.

Key Responsibilities:

  • Processing and providing advice on core employee conflicts management tasks
  • Compiling and contributing to reporting on employee conduct
  • Supporting the tracking and submission of UK/US regulatory filings and notifications on the FCA's Gabriel system and FINRA systems
  • Supporting FCA/PRA & SEC Approved Persons registrations, de-registrations, associated training and competence documentation and Connect/FINRA filings


Previous experience working with:

  • Employee conflicts management systems, processes and policies
  • Regulatory reporting
  • General regulation and compliance matters

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Reference: 34863380

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