Compliance Control Room Officer recruitment
An investment bank based in the city of London requires a Compliance Officer to join their Control Room Team. The institution caters to a demanding and diverse group of stakeholders which allows for busy and exciting work environment.
The role will entail ensuring that the research and marketing material produced and distributed by the bank is approved and in line with relevant rules, regulations, policies and procedures. The successful candidate will also maintain the Restricted and Watch Lists, and undertake Chinese Wall Crossings and deal with Control Room related queries. Lastly, the role will involve providing cover for other members of the Control Room when required, liaising with overseas affiliate offices as required, and following the Conflict Clearance process for all relevant transactions.
The successful candidate must have experience working within a similar capacity within financial services; have strong Microsoft Office skills with a focus on Excel and strong knowledge of financial products. Excellent knowledge of Control Room processes and procedures and an understanding of the FSA rules are also essential for this permanent role.