Compliance Control Room Officer recruitment
An investment bank based in the city of London requires a Compliance Officer to join their Control Room Team. The institution caters to a demanding and diverse group of stakeholders which allows for busy and exciting work environment.The role will entail ensuring that the research and marketing material produced and distributed by the bank is approved and in line with relevant rules, regulations, policies and procedures. The successful candidate will also maintain the Restricted and Watch Lists, and undertake Chinese Wall Crossings and deal with Control Room related queries. Lastly, the role will Read more […]
Compliance Control Room Officer recruitment
Our client, a global financial institution is looking for a compliance control room manager to join their control room and work with the business and other departments to mitigate regulatory risks and facilitate the compliance culture.Duties Include: • Responsible for enforcing procedures designed to prevent and detect the misuse of material non-public information and managing conflicts. • Reviewing and approving research in accordance with the regulatory and internal guidelines • Develop maintain and implement Chinese Walls policies for the business • Facilitate approval and Read more […]