Compliance Officer – CF10/11 recruitment
Leading Private Equity firms seeks an accomplished senior Compliance professional for a new appointment. With impressive growth over the last few years and a highly charismatic and entrepreneurial management team, this firm is looking to appoint their first full time Compliance Officer with CF10/11 status. The successful candidate will have experience in dealing with compliance issues in a regulated environment, including at initial investment stage and from an on-going operational perspective. Key responsibilities will cover all monitoring and highlighting of compliance issues across the funds Read more […]
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 investigationsTo manage the firm’s relationships with regulatory bodiesResponsible for Market Abuse controls and to act as MLROTo enhance, produce and mantain reports for all monitoring and regulatory programs Read more […]
CF10/ 11 recruitment
Responsibilities:Working with senior management this is a key role to create a culture in which all see compliance as their responsibility and equally non-compliance as their risk. To ensure all staff are aware of the rules and procedures to safely fulfil their responsibilities. Act as in-house consultant on compliance issues rules and their interpretation. Design monitoring systems and procedures. Identify threats and risk from regulatory changes and formulate the firm’s responses and make recommendations to senior management. React to allegations for rule breaches complaints and investigations. Act Read more […]