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Compliance Assurance Officer

Company not shown
United Kingdom  United Kingdom
Finance/Accounting, English

Job Description:

Compliance Assurance Officer

Would you like to play a key role within our compliance team? We currently have a vacancy for a Compliance Assurance Officer at our site in Burwood House, London.

As a Compliance Assurance Officer, you will sit within the BAPFIM Compliance team, reporting to the Head of Compliance. The role supports ensuring compliance with the FCA regulatory and (COMPANY NAME) Operational Framework requirements, through the monitoring and testing of processes, procedures and business activities to provide assurance of adherence by the firm to the requirements.

The successful candidate will be expected to be able to provide guidance to the Compliance team and wider BAPFIM investment management, operations and finance teams on the regulatory environment and FCA expectations on the firm

This role will provide you with the opportunity to work with many stakeholders at various levels, working within an essential part of the business.

Your main responsibilities as a Compliance Assurance Officer will involve:

Producing daily MI reports, monitoring Takeover Panel changes, analysing custodian records and Bloomberg message alerts and compliance rule violations and escalating to Head of Compliance where corrective action required

Carrying out daily best execution monitoring and market abuse checks on transactions and escalating concerns to Head of Compliance

Maintaining Personal Account Dealing and Gifts & Hospitality registers and producing regular analysis reports of Personal Account trading activity / Gifts & Hospitality notifications

Carrying out ongoing monitoring in accordance with the Compliance Monitoring Programme. Escalating to Head of Compliance and working with the business to resolve any issues identified

Producing quarterly assurance report on findings and advising Head of Compliance and Senior Management of adverse findings and proposed corrective action for consideration and approval

Analysing regulatory requirements for investment managers and outsourced service providers and reviewing activities to test compliance with the FCA Handbook, insider dealing and anti-money laundering legislation and (COMPANY NAME) Operational Framework

Developing and updating the Bloomberg and Dynamo analytical tools to improve assurance testing, including Bloomberg AIM compliance rules

Carrying out quarterly reviews and independent testing of Financial Control Framework procedures and recommending suggested process improvements in line with (COMPANY NAME)

Carrying out half yearly independent testing and walk through of procedures for front office, middle office and finance. Producing reports of findings and suggesting process improvements for consideration by relevant teams

Assisting with provision of KYC documentation to brokers and counterparties and assisting with the KYC analysis of potential investment opportunities as required

Advising employees on DCRD policy and uploading Compliance documents to the Record Centre. Conducting six-monthly DCRD compliance reviews

Providing cover to the Regulatory Compliance Officer role as required

Representing the Compliance team at quarterly BCP meetings

Your skills and qualifications:


FCA Regulatory knowledge

Internal audit or assurance experience

Good level of understanding of how compliance integrates with other areas within the business

Able to develop compliance assurance reports

Meticulous attention to detail

Compliance monitoring expertise

Able to analyse information to formulate questions and recommendations


Experience in the investment management

What we're looking for in you:

You will be a strong communicator with the ability to develop successful working relationships with stakeholders. You will have developed diplomacy skills in order to persuade and influence where weaknesses are identified or changes to working practices are required.

Location: Burwood House, London

Salary: Competitive

Benefits: Our employees receive an excellent benefits package which includes a competitive pension scheme, enhanced annual leave allowance and a Company contributed Share Incentive Plan. We also offer a range of additional benefits such as flexible working, an employee assistance programme, Cycle2work and many local and national employee discounts. Some employees may also be eligible for an annual incentive.


(COMPANY NAME) is one of the world's leading global defence, security and aerospace companies. We work at the cutting edge of technology, creating more than 100 new inventions every year for customers in over 100 countries.

Head Office

If you'd like to make a real difference where it counts, (COMPANY NAME) is the place for you.

From keeping soldiers, sailors and pilots safe to helping countries prosper, from developing the next generation of supersonic aircraft to investing in the next generation of super-smart talent - at (COMPANY NAME), we work together to give our customers an essential edge in protecting the things that really matter. Lives, livelihoods, ways of life.

As part of the Head Office team, you'll be at the heart of this endeavour - working closely with our air, maritime, land and cyber and intelligence businesses to support our customers around the world.

Join us and you'll be encouraged and rewarded to excel in this important work. Apply your talent where it counts.

We recognise that an inclusive and diverse workplace - where all employees feel respected, valued and able to achieve their full potential - is vitally important. Not only does it inspire creativity and collaboration, it's good for business. We celebrate our differences and believe our diverse skills, abilities and perspectives strengthen our culture and our overall performance.

We welcome applications from all suitably qualified people.

Please be aware that many roles working for (COMPANY NAME) will be subject to both security and export control restrictions. These restrictions mean that factors including your nationality, any previous nationalities you have held, and/or your place of birth may limit those roles that you can perform for the organisation.

Due to the volume of applications we receive, we sometimes close our vacancies early. It is therefore advisable to apply as early as possible if you would like to be considered for a role with (COMPANY NAME)

Source: Company website
Posted on: 08 Apr 2021
Industry: Aerospace / Defense
Languages: English
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