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 […]
July 6, 2011
• Tags: 11 recruitment, Equities careers in the UK, Part-time Compliance Officer CF10 • Posted in: Financial • Comments Off on Part-time Compliance Officer CF10/11 recruitment