New Compliance Adviser needed at Award Winning Broker Jobs London
This award winning broker requires a senior compliance professional to assist with the management of regulatory relationships, including visits, investigations and enquiries. Performing an Advisory function, you will hold a critical role within the compliance department with the following responsibilities:
-Keep up to date with exchange rules and relevant regulations and integrate this information into the business
-Develop and maintain Departmental policies and procedures
-Maintain compliance manual
-Participate in new product review and oversee the distribution of exchange notices and staff registrations
-Manage key relationships including regulators, exchanges, investigations and enquiries
-Advise the department on matters relating to compliance whilst effectively liaising with front office and senior management across the business
Key Skills required:
-5+ years Compliance experience at a brokerage, Exchange or Investment bank
-Hold a relevant compliance qualification (CISI, ICA etc)
-Strong knowledge of derivatives and securities products
-Supervisory experience and/or advisory experience
-Excellent understanding of regulatory landscape
-Ability to interact with staff at all levels
Location: City
Salary range: £80-£90k
If you wish to apply, kindly ensure I have our most up to date CV
(Real Staffing Group acts as an Employment Agency and an Employment Business)