Director Compliance

The Compliance Department is responsible for the creation and implementation of appropriate regulatory policies and procedures for all businesses, for the provision of related training and advice, for the monitoring and review of all business activities to measure Compliance with policies and procedures, for undertaking enforcement and sanctions activity and for the management of Firm’s relationship with all of its regulators.

Lead a team of compliance professionals that provide advice and compliance support to the Equity and Funds Structured Markets and Investor Solutions teams. Manage and lead projects, work globally with overseas colleagues, provide clear and concise management information and engage frequently with senior front office personnel.   

Main Duties

To lead a team providing day to day compliance support and oversight for the above for sales, including developing close working relationships with front office and other relevant infrastructure staff reporting to a Compliance Director. The role will also require taking a lead on a variety of related projects, reviews and ad hoc tasks working with a variety of senior business and support representatives as appropriate.

The above will require an understanding of OTC products, distributors distribution arrangements, including the use of sub distributors and IFAs, the nature of the proposed products the distributor proposes to access, the jurisdictions the distributor operates in, their fee disclosure standards and other pertinent factors

Additionally, the role will involve:

Person Requirements

Basic Qualifications:

Preferred Qualifications:

Strong team player, ambitious, intelligent and hard working

July 30, 2013 • Tags:  • Posted in: Financial

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