Part-time Compliance Officer CF10/11 recruitment
Working with senior management to create a culture in which compliance and TCF is everyone's responsibility.
To ensure all staff are aware of the rules and procedures to safely fulfil their roles.
To consult on compliance issues, rules and their interpretation.
To identify risk from regulatory changes and to make recommendations to senior management.
To react to allegations on rule breaches, complaints and investigations
To manage the firm's relationships with regulatory bodies
Responsible for Market Abuse controls and to act as MLRO
To enhance, produce and mantain reports for all monitoring and regulatory programs and procedures
Ensure up to date knowledge on regulation and ensuring practical dissemination
To review Financial Promotions
To work with HR with regard to TC requirements
To make timely reports to the FSA
You will have to be visible, practical and have the confidence, gravitas and experience to head Compliance. Experience of working in a stockbroking environment. Excellent knowledge of the FSA Handbook. You will have the ability to make unpopular decisions and good reporting and presentation skills.