Compliance Advisor Needed!! recruitment
Key Responsibilities:
• The position would provide Compliance advice to other departments on a wide range of Compliance activities and the FSA and internal rules and regulations.
• The position would ensure that the appropriate changes to policies, procedures and systems including regulatory permissions.
• The Compliance group initiate and manage a wide range of Projects.
• To ensure that these projects are undertaken with appropriate due care and attention this position would undertake a Project Manager role on behalf of the Compliance group.
• The positions would also approve requests for routine applications to Compliance including MiFID customer classifications, Business Process Owner and, Gift Entertainment requests.
• The position would review proposed new products and services to determine the regulations which apply and ensure that the bank has the necessary regulatory permissions.
The successful candidate will have:
• Senior Legal and/or Compliance Officer experience including knowledge of the FSA rules
• Sound working knowledge of Corporate Banking financial services including product knowledge.
• Either a relevant compliance qualification (e.g. Chartered Institute of Securities and Investments with Diploma in Investment Compliance)
• Previous project management experience
• Proven track record in liaising with senior stakeholders with regard to the increase in regulatory changes.
To be considered for this outstanding opportunity please email Rob Johnson at cer Financial on rjohnson@cerfinancial.co.uk for a confidential discussion.