CCO: Chief Compliance/Legal Officer | London based IB recruitment
The role reports into the Head of compliance for financial services block (CIB, WM, PB), as well as reporting locally to the CEO UK / Head of Research, MD.
Your Profile:
- Degree level education (exposed to legal side), adequate qualification certificates (CF10 Compliance Oversight CF11 Money Laundering Reporting is a must)
- Experience in compliance in a financial services firm that has international presence (likely to have 7 years experience)
- Familiarity with all business lines operating in UK entity (Institutional Sales Trading, Investment Banking, Asset Management), basic knowledge of specifics in servicing US investors
- People management skills
- FSA ex-labor contract is a plus
Key objectives:
- To ensure that the firm is in compliance with regulations.
- To ensure that regulatory risk in the institution is being managed effectively.
- To train and educate staff in regulatory requirements and requirements of internal policies and procedures.
- To ensure that the firm is abiding by its own policies and procedures.
- To ensure that reputational risk is being managed effectively.
- To help the firm anticipate and plan for changes in regulations.
- To act as a central repository for all information on rules, codes of conduct and business practices, and ensuring dissemination to all appropriate people in the organization.
- To build greater confidence in the organization on the part of clients.
- To act as the champion of the customer within the firm.
- To influence the regulatory process in the interests of the firm
Contact us: send resume by e-mail only to cv@albertcliff.com or visit our websitewww.albertcliff.com. PLEASE: Do not send e-mails to any other company e-mail addresses; do not send hard copies, and do not contact us by phone or in person. We will contact selected candidates directly.
Also, this is just one of our jobs. To see all of jobs please go to www.albertcliff.com and click ‘VACANCIES’
July 5, 2012
• Tags: CCO: Chief Compliance, Compliance, Legal careers in the UK, Legal Officer | London based IB recruitment • Posted in: Financial