Operational Compliance Officer recruitment
- Operational Compliance Officer is responsible for a number of areas of regulatory compliance within the firm. These include:
• Supporting the EMEA Compliance Department’s regulatory advisory function.
• Assisting the Regulatory Counsel with the coordination of the development and maintenance of compliance policies and procedures for the EMEA region.
• Supporting those functions within the firm who are tasked with the day-to-day operation of the firm’s systems and controls as they relate to Transaction Reporting, with escalation to the Regulatory Counsel.
• Supporting those functions within the firm who are tasked with the day-to-day operation of the firm’s systems and controls as they relate to Client Money and Custody, with escalation to the Regulatory Counsel.
• Assisting the Regulatory Counsel with regards to all licensing issues in relation to the firm’s UK and EMEA legal entities.
• With the Regulatory Counsel, producing management information and key performance and risk metrics to keep the Head of Central Compliance and senior management within the firm informed of key issues and risks which are specific to your area of responsibility.
• Escalation to the Regulatory Counsel of any significant issues relating to compliance with applicable regulatory requirements and the firm’s Compliance policies and procedures which are relevant to your area of responsibility.