Maternity Cover, Compliance Manager (6-9 months) recruitment
The responsibilities of the individual in this position include:
Support primary contact for nominated business areas.
Undertake or assist with ad hoc project work, investigations/reviews, providing analysis and making recommendations.
Answer queries from the business around applicable regulations, exchange rules and internal compliance policies and procedures.
Undertake desk reviews of nominated business areas and assist with or lead, as required, reviews of specified aspects of business activity across the firm.
Act as primary contact for specified areas for certain regulators, exchanges and industry bodies.
Assist in the continuous review and analysis of new regulations and guidance and in the ongoing development of compliance policies and procedures.
Provide training.
Assist with the approval of financial promotions and other communication.
Provide active input into NPA process. Escalate issues where required.