Compliance Officer recruitment
The US parent company operate as a full-service investment bank, however the intention is that the London entity will initially be authorised to operate as matched principal broker with a focus on a range of Fixed Income and Equity instruments.
This is an interesting and varied role with core responsibilities including (but not limited to):
• Maintaining and updating the compliance manual and procedures/registers
• Update compliance procedures and ensure that regular monitoring is carried out
• Ensure that the firm has thorough KYC/AML procedures that are effectively carried out
• Look after all FSA returns and approved persons registrations
• Ensure that the firm maintains training and competence for staff as required
• Liaise with the FSA on all regulatory matters
• Keep senior management informed of all regulatory developments
• Submit regular reports to the board on compliance and AML
• Maintain compliance records and streamline compliance procedures
• Maintain relationships and make best use of external compliance support
As it is expected that the successful candidate will take on the CF10 11 controlled functions, applicants will ideally be registered in the controlled functions or demonstrate a depth of expertise to allow them to be registered
Strong compliance knowledge needs to be combined with solid commercial awareness, as compliance solutions must not only meet FSA standards and industry best practice but be workable for a small firm.
As with many firms of this size they are also keen that applicants can assist in other areas as well as the core compliance function. In this instance they are looking for candidates who also have a background in operations.
In the first instance please forward your CV to giles.remmington@theimsgroup.co.uk or call on 0203 141 9635