Compliance Consultant – Cash Equity – Exchange experience recruitment
Main responsibilites will be:
- Maintain an up to date knowledge of the business, including products offered and services provided to clients
- Maintain an up to date awareness of the regulatory environment, including but not limited to a working knowledge of the laws, rules and regulations of the FSA, London Stock Exchange and other relevant regulatory bodies
- Provide compliance and Regulatory Advice to all business lines
- Proactively enhance the compliance function to ensure regulatory and compliance risks are comprehensively covered
- Manage the Compliance and Anti-Money Laundering framework
- Work with all business areas to identify legal and regulatory issues that affect their operation and deal with such issues in a proactive and commercially minded manner
- Undertake regular training of staff, including new joiner training, on topical regulatory issues together with company policies and procedures
- Ensure all incidences / breaches are escalated to management and Head of Compliance
- Ensure appropriately planned and timely monitoring of the activities of the company are undertaken and documented
- Work with internal audit and Permanent Control to identify and review key regulatory and compliance matters
- Respond to audit/regulatory inquiries and co-ordinate visits/inspections as required
- Participate in the review and approval of new products and business initiatives to ensure all regulatory requirements are met
- Foster a healthy compliance culture amongst staff by building a solid rapport
- Demonstrate teamwork and forge a constructive working relationship with the Compliance teams
- Draft, implement, update and distribute policies and procedures, induction packs and compliance guidelines and manuals
- Advise on and process FSA approvals/withdrawals of employees performing FSA controlled functions and or Significant Influence functions
- Assist Head of Compliance on ad hoc tasks as and when required
EXPERIENCE REQUIRED:
- Experience and knowledge of the Equities industry including MIFID requirements applicable to a pan-European broker (including best execution and fragmentation issues)
- Knowledge of MTF
- Knowledge of Anti-Money Laundering Regulations guidance notes
interested canddiates must send cvs to Fatiha Belorf on fbelorf@riversdaleconsulting.com
March 2, 2012
• Tags: cash equity, Compliance Consultant, Equities careers in the UK, Exchange experience recruitment • Posted in: Financial