Compliance Officer (CF10/CF11)
The Role
Reporting into senior management, you will be responsible for:
- Managing the regulatory relationships with the FSA SEC
- Keeping up to date with global regulatory developments and updating internal policies and procedures
- Providing compliance reports to Regulatory Bodies and relevant Boards
- Implementation and on-going enhancement of the compliance monitoring programme
- Providing accurate and timely advice to relevant business areas
- Reviewing marketing and client documentation
- Provision of monitoring and execution functions relating to anti money laundering
- Oversight of personal account dealing and gifts policies
Key Requirements
- Familiar with UK regulations (FSA), pan-European regulations (ESMA guidelines) and ideally have some working knowledge of US regulatory agencies and procedures.
- Have some working knowledge of plain vanilla financial instruments (E Bonds, Forwards, Futures, Swaps)
- Sufficient number of years gained in a compliance role and be from a compliance advisory or regulatory background
- Willing to assume responsibility for decisions
- Excellent written and verbal communication skills
- Excellent attention to detail
- You should have strong inter-personal skills and a mature, responsible attitude
Most importantly, you need to display initiative. As a self-starter, you are comfortable starting new projects and are able to suggest improvements continuously.
To discuss the role in greater detail, please contact Edward Manson on 0207 549 2470 or send through your CV to emanson@merje.com
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