Compliance, Financial Crime and Risk

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Salary: £60 - £70K - London

This role sits within the Compliance team and provides assurance to the business on its systems and controls, particularly in respect of market abuse.

 

Duties and responsibilities

Policy:

  • Establish and maintain the following to ensure that regulatory requirements are adhered to including FCA rules, Rules of the LSE, Takeover Panel rules etc and has appropriate systems and controls:
    • Compliance Manual
    • Compliance Policies
    • Compliance Procedures

 

Compliance Training:

  • Arrange appropriate training for employees to ensure that they are aware of their responsibilities in relation to the Compliance Manual and Compliance Policies (including induction of new employees and ad hoc training)

 

Horizon Scanning:

  • Monitor and assess the impact of regulatory and legislative developments impacting business areas, disseminate to team and advise the Head of Compliance and the Compliance team on potential responses
  • Review regulatory consultation papers and respond as agreed by the Board

 

Breaches and Complaints:

  • Undertake breach investigation and escalate findings
  • Assist with the management of client complaints in accordance with DISP and undertake investigations in relation to such complaints and escalate findings
  • Assist with the route cause analysis of breaches and complaints and propose remedial action including arranging appropriate training
  • Contribute to responses to s165 requests as required
  • Any other duties as required from time to time.

 

 

Experience Required

  • Minimum 3 years of compliance experience within the investment banking / broking sector
  • Proven Compliance experience

 

Qualifications Required

  • Educated to degree level
  • Relevant CISI level 3 qualification or equivalent

 

Skills Required

  • Good understanding of Corporate Finance, Corporate Broking and Trading
  • Knowledge of the UK regulatory framework including but not limited to FCA Rules and Guidance including SYSC, COBS, MAR etc
  • Knowledge of associated statutory legislation including UK Money Laundering Regulations, Bribery Act
  • Excellent verbal and interpersonal communication skills
  • Excellent written English
  • Accuracy and attention to detail
  • Strong analytical skills
  • Strong IT skills including Intermediate MS Office skills: Outlook, Work, Excel, Powerpoint
  • Highly organised
  • Strong team player
  • Confident, professional and reliable
  • Able to work under pressure and multi-task

 

For more information contact Duncan Tout

Recruitment Resourcer
Phone: 01732 746 668
Email Duncan

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