Compliance Advisory Officer – Equities recruitment
Our client, an international financial institution is looking for a compliance advisory officer to join their compliance department and work with the business and other departments to mitigate regulatory risks and facilitate the compliance culture.
Duties Include:
• Support Senior Management to ensure the business meets its regulatory requirements
• Provide guidance, advice and interpretation regarding compliance issues to the business
• Participate in meetings with the business to provide compliance advice on various issues.
• Assist in ensuring that effective monitoring and control systems are in place.
• Participate and assist other compliance staff to develop regulatory risk assessments, document controls and monitoring plans for the business.
• Provide interpretation on regulatory changes and the impact on processes, procedures, controls and products
• Assist in providing compliance input on the development of new products and services.
• Assist in the preparation for regulatory visits and exchange audits
• Work with other compliance staff to ensure that regulatory requirements are communicated and understood by the firm.
The preferred candidate will ideally have either an Investment Banking, Wholesale or Securities background and demonstrate strong knowledge of Equities and Derivatives products. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to inan@altussearch.co.uk or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.