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Operations Director- Financial Compliance jobs in City Of London, England


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Operations Director- Financial Compliance

£45000 - £60000/annum

City of London, England

Operations Director- Financial Compliance � 45,000-� 60,000 The employer a well known Financial company want a Operations Director to become part of their team in London The successful job job candidate will have an opportunity to be involved in other aspects of the business as it grows. Key job duties
* Developing and enhancing the companyand#39;s compliance culture
* Managing and overseeing annual and monthly compliance monitoring programme
* Ensuring all government and regulatory filings in relation to the company and its subsidiaries are completed in a timely manner
* Undertaking ad hoc compliance monitoring projects as and when needed
* Attendance at monthly Compliance and Investment Committee Meetings
* Dealing with personal account dealing requests
* Reviewing and approving financial promotions
* Overseeing the daily Client Money reconciliations to confirm FCFM Group remains compliant with CASS 6 and 7 by ensuring Client Mone. Custody Assets are reconciled and segregated appropriately
* Ensuring that the organisation is compliant with both internal and external polices and regulation
* Training staff on company policies and procedures
* Identifying business risk issues and proactively promoting possible solutions to manage any residual risks
* Identifying material operational risks, assess the effectiveness of control design, changes and ensure that any control gaps identified are managed until closed within a timely manner
* Input on development and implementation of standards and policies appropriate for the company that conform to the principles and policies established by Risk Management
* Provides a wide range of human resources support in the areas of employment, compensation administration, employee relations, training and education, payroll practices and processes, leave and time administration, personnel records management, and performance management
* Recommends and implements enhancements to current departmental human resources processes, procedures, and programs in areas including, but not limited to:
employment, hiring, and onboarding of staff and faculty; compensation administration; leave administration; employee relations Ideal Candidate
* Solid experience working in the Compliance and Risk field, preferably in Real Estat. Private Equity houses
* Experience with general FCA reporting
* Knowledge of AIFMD, MIFID II, and CRD IV
* Experienced in developing and supporting line managers through change
* An capability to maintain confidentiality and act with discretion and diplomacy is crucial
* Self-motivated and able to work under own autonomy or as part of a team
* Knowledge of market conduct, rules and filing requirements Advertised by OA Executive. Please note that due to a large amount of response OA receive; only successful job job candidates will be contacted for the purposes of the Regulations, please note that Office Angels in the provision of these services will be operating as a recruitment agency. Office Angels are an equal opportunities employer Office Angels is acting as an Employment Agency in relation to this vacancy. The Adecco Group UK and Ireland is an Equal Opportunities Employer

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