Compliance Officer – Advisory recruitment
Duties:
- Provide advice and guidance to nominated business areas on regulatory matters and to deal with day to day queries
- Be aware of local Compliance and regulatory requirements and Group Compliance policies and endeavour to ensure compliance therewith by nominated business areas
- Interact pro-actively with management and staff of nominated business areas to know the business and identify regulatory risk and escalate issues to management
- Periodically undertake Compliance risk assessment of nominated business areas and assist with or lead, as required, Compliance reviews of different aspects of business activity across firm, as directed
- Interact with regulators, exchanges and industry bodies, as required
- Undertake or assist with ad hoc project work, providing analysis and making recommendations, as required or directed
- Develop and implement Compliance policies and procedures to reflect regulatory obligations applying to the business, working with other members of Compliance and business, as required or directed
- Carry out as required, other processes performed by Markets Advisory team, including but not limited to approval of research and marketing materials; monitoring activities; reviewing new product and business proposals; reviewing and investigating queries raised by Central Compliance; carrying out internal investigations; providing assistance with tape playback requests
Requirements:
- Good understanding of local Compliance policies and requirements
- Previous experience of key nominated business areas
- Ability to pro-actively liaise with Front Office at a practical level
- Ability to analyse interpret and regulations
- Ability to identify key issues and escalate them in a timely manner
- This is a fantastic opportunity offering excellent career development, with package to match
For further information and details about this opportunity, please contact Rowan Mollison in the first instance on 020 7220 6350 or email rowan@coninghamlee.co.uk
Please note, due to unprecedented response, Coningham Lee will only respond to those applicants that match the specified criteria and are eligible to work in the UK.
December 7, 2011
• Tags: Compliance, Compliance Officer – Advisory recruitment, Legal careers in the UK • Posted in: Financial