CF10/ 11 recruitment
Responsibilities:
Working with senior management this is a key role to create a culture in which all see compliance as their responsibility and equally non-compliance as their risk. To ensure all staff are aware of the rules and procedures to safely fulfil their responsibilities. Act as in-house consultant on compliance issues rules and their interpretation. Design monitoring systems and procedures. Identify threats and risk from regulatory changes and formulate the firm’s responses and make recommendations to senior management. React to allegations for rule breaches complaints and investigations.
- Act as an independent advisor and be responsible for resolving all compliance issues
- Manage the firm’s relationships with regulatory bodies
- Responsible for Market Abuse and Money Laundering controls and procedures and act as MLRO
- Enhance develop and participate in compliance monitoring programmes
- Produce and maintain reports for all monitoring programmes
- Ensure up to date knowledge of regulations and ensure practical dissemination and understanding to relevant personnel so they are aware of any changes
- Enhance and develop regulatory and in-house procedures
- Act as independent respondent to complaints from clients and regulators
- Review and record all Research, Adverts, Financial Promotions and Marketing Material
- Monitor, maintain, provide and record all Approved Person’s training requirements
- Timely reporting to regulators on Complaints and Money Laundering
Qualifications Experience
- The confidence, gravitas and experience necessary to lead Compliance
- MLRO and Compliance FSA Registrations
- Experience of working with a retail private client stock broking environment
- Excellent knowledge of the FSA handbook
- Ability to make and present unpopular decisions
- Excellent report writing and presentation skills
- Appropriate professional qualification essential
May 27, 2011
• Tags: 11 recruitment, CF10, Commercial Banking careers in the UK • Posted in: Financial