Compliance Generalist recruitment
Our Client is seeking a Compliance generalist to join their small and flexible team, to cover all aspects of compliance for the UK office. The role requires a high degree of interaction with other member of the team, and the main function will be advising and monitoring the bank's staff and trading activities.
Responsibilities to include:
· Compliance monitoring programme
· Ad hoc business reviews
· Drafting of policies and procedures
· Compliance Control Room duties
· General advisory
· FSA registrations
Skills / Knowledge Required
· General knowledge of Trading Floor products (equity and equity research knowledge an advantage)
· General knowledge of FSA rules, particularly Conduct of Business and Market Abuse
· Proficient in use of Microsoft Office (Word, Excel, Powerpoint).
· Strong verbal and written communication skills
· Ability to interact with senior management
· Excellent report writing and other communication skills.
· Basic understanding of Corporate Finance and MA business
· Basic knowledge of Anti-Money Laundering regulation
· Basic knowledge or experience of Control Room/Conflicts Management
We regret that due to the high volume of applications we are only able to contact suitable candidates.
