Compliance Monitoring Manager – Brokerage recruitment
One of the worlds leading brokerages require a compliance professional to assist in the development of their Compliance Monitoring programme. This is an excellent opportunity for an experienced compliance professional to join a well respected and established business.
The successful applicant will have the following responsibilities:
• Developing the monitoring programme
• Perform both desk based and thematic reviews
• Investigate regulatory concerns on an ad-hoc basis, escalating issues where necessary.
• Produce monitoring reports and make recommendations to the business, ensuring actions are met within agreed timelines.
• Work closely with the advisory team and other areas of the business, such as support functions, in the identification of key risk areas.
• Assist in the drafting of Compliance policies and procedures.
The ideal candidate will possess -
• A solid understanding of FSA handbooks.
• 5+ Years of regulatory experience in UK financial services
• Knowledge of major exchanges
If you feel you have the requisite experience and want to join one of the leading brokerage firms in the world I would like to hear from you. Please call Francis Barnett on 02073983638 or apply using the eFinancial link.