Compliance Officer – Stock Broking recruitment
Essential Experience:
- You must have worked in or had signifacant exposure to a stock broking / private client business.
- Significant FSA focused compliance experience
- Process driven and a quick learner - constantly reviewing for areas of improvement
- Excellent people skills and ability to work with people at all levels and influence others
- Exposure to CFD's and Spread Betting
- Ideally you will have primary markets exposure
Responsibilities:
Carry out CF10 (Compliance Officer) and CF11 (MLRO) duties - because of the nature of the invitation only clientbase it is a low risk business.
Co-ordination of regulatory compliance risk assessment and monitoring program and reporting management information directly to the CEO.
To ensure that compliance systems, controls and monitoring procedures remain at all times appropriate to the nature, scope and scale of its business activities.
Ensuring that strategy is at all times implemented in a compliant, ethical and professional manner, thus, developing and promoting the business’ reputation as a reputable financial services company.
February 1, 2012
• Tags: Compliance, Compliance Officer, Legal careers in the UK, Stock Broking recruitment • Posted in: Financial