Our client is looking for an Operations Manager to join their team, who will also act as the Compliance Officer and MLRO (subject to FSC approval).
Responsibilities include, but are not limited to:
- Trade Reconciliation
- Client Liaison
- Archiving
- Payments
- Corporate Actions
- Overdrafts Settlements
- Stock Transfers
- Companies House Returns
- Valuations
- Performance Reporting
- General Office Administration
- MiFID II Transaction Reporting
- Annual Compliance Report
- Banking & Investments Return
- FSC Investor Compensation Scheme Returns
- Financial Crime Return
- Consumer Duty Assessment
- Onboarding new clients
- Transaction Monitoring
- Arranging Independent Audit
- Business-Wide Risk Assessment
- MLRO Annual Report
- Sanction Screening
- AML Monitoring
- KYC Renewal/File Reviews
- AML/CFT/CPF Training, PEPs
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