Reporting – Responsible for coordinating and collating data in support of the departments regular and ad-hoc reporting obligations, both to internal and Group stakeholders.
Compliance Monitoring Programme – Engaging with the business to collate testing data/material, one month ahead of testing. Responsible for updating the CMP to reflect the results of monitoring, and reporting this to reporting centres within Quintet Private Banking Group. Facilitating the annual gap-analysis of the FCA handbook by Compliance Monitoring Officers.
Compliance Register Management – Maintenance of the firms’ key compliance registers. These include:, conflicts of interest, compliance breaches, the Insider list, and gifts and hospitality. Adding new entries and chasing closure of actions from key business stakeholders. Organising meetings with Compliance Managers to review and approve new updates. Managing successful delivery of the firm’s biannual attestation programme.
Compliance and Audit Actions – To produce compliance action reports for the Executive Committee while sending out practical reminder emails to action owners. To maintain business actions register for the Compliance Team and maintain awareness of deadlines and ownership within the team in respect of any Audit Actions the Compliance Team may have.
Training and Development – To support the team’s training, development and implementation work. This will include being the administrator of the e-learning system / tracking and reporting on completion of training by staff. / Taking content and tests and reproducing these in an e-learning format for approval.
PA Dealing – To record and test all PA dealing submissions and engage with staff as appropriate to ensure PA dealing is accurately recorded and properly challenged in accordance with internal procedures and firm policy.
Market Abuse Monitoring – To coordinate the upload of data to the market abuse system to support the team’s monitoring of market abuse alerts.
Internal Procedures and Record keeping – To update internal procedures. This will be either updating procedures for activates you undertake or assisting the management team update or create new procedures to document the internal processes of the team. You will proactively review the existing departmental folder structure and development and implementation of an orderly and efficient processes within the Compliance Department.
Other Duties - Carry out any other duties as may reasonably be required, including assisting team members in the recording of monitoring data, answering phone calls. Participating in testing, advisory and implementation activity as part of professional development.