jobs Compliance Officer - Zilla Capital
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description :jobs Compliance Officer - Zilla Capital
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Achieving high-level compliance objectives: Advising and assisting the Board of Directors and senior management in the design and implementation of policies, procedures, systems, and controls to comply with the legislation applicable to the Firm’s financial services carried on in or from the FRA and monitoring and reporting to the Board of Directors thereon.
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Liaising with regulators: Obtaining necessary Licenses, authorizations, and consents and making ad hoc notifications; processing applications for the registration and withdrawal of Authorized Individuals; overseeing the submission of periodic reports and returns; preparing for FRA risk assessment visits and providing information upon request.
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Staff training and advice: Designing and delivering staff training on what must or must not be done to ensure that they and the Firm comply with applicable legislation in the FRA; compliance induction training; briefing management on special compliance issues in connection with current business or regulation and any anticipated changes thereto.
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Administering and overseeing the Firm’s procedures on Permitted activities; rule breaches; conflicts management, including individuals outside business interests, inducements, personal account transactions; communications and marketing; client acceptance; reporting to clients; submission of regulatory returns; notifications to the FRA; data protection; and complaints handling.
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Record keeping in relation to: Controllers; senior management apportionment; authorized individuals; breaches; fitness & propriety; complaints; training & competence; conflicts identification and management, communications and marketing materials; client classification notices, client agreements, and related documentation; periodic statements; regulatory returns; notifications made; FRA correspondence; and individuals’ declarations and undertakings.
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Compliance infrastructure and management reporting: Identifying and assessing compliance risks; designing and implementing appropriate policies, procedures, systems, and controls; maintaining compliance manuals and related documentation up to date; carrying out compliance monitoring and surveillance; participating in meetings with senior management, reporting to the Board of Directors and senior management on key compliance findings and issues, the appropriateness and effectiveness of the Firm’s systems and controls, and overseeing progress as to any required remedial action or enhancements.
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Establishing and maintaining the Firm’s anti-money laundering policies, procedures, systems, and controls for compliance with anti-money laundering legislation applicable in the FRA.
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Overseeing the day-to-day operations for compliance with the Firm’s anti-money laundering policies, procedures, systems, and controls.
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Acting as the point of contact to receive internal Suspicious Activity Reports (SARs) from Employees; taking appropriate action to investigate the circumstances in which the SAR was made
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Establishing and maintaining an appropriate anti-money laundering staff training program and adequate awareness arrangements.
Job Details
| Posted Date: | 2022-02-28 |
| Company Industry: | Financial Services |
Preferred Candidate
| Career Level: | Mid Career |
| Degree: | Bachelor's degree |
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