Compliance Officer
Role: Compliance Officer -UKRegion
Company: Asset Manager
Type: Contract
Duration: 12 Months
Location: Manchester
Rate: £400 per day
An asset manager with a presence across theUKis looking for a Compliance Officer to join the business to on a 12 month basis to ensure the business remains compliant withUKregulations.
The duties will include:
- Co-ordination of Approved Persons approvals / cancellations
- Maintain a Regulatory Reporting calendar to ensure all reports are completed
- Maintain the proprietary breach reporting log and complaints register
- Assist with the regular cascade of the Conflicts of Interest
- Maintain, review, update and create as applicable the UK Compliance Manual
- Monitoring queries received relating to Training and Competence and Personal Account Dealing to ensure appropriate advice is given in conjunction with the Compliance Officers;
- Performing monitoring of TC files and desk based monitoring of the PTA system to assess adherence with policy
- Where required, assessment, communication and implementation of regulatory change
If you have interest in the role please apply online with an updated CV or feel free to call me directly, Pritesh Chudasama on 0207 398 3600
To find out more about Real, please visit us on www.realstaffing.co.uk
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