Compliance Officer – Stock Broking recruitment
Essential Experience: You must have worked in or had signifacant exposure to a stock broking / private client business.Significant FSA focused compliance experienceProcess driven and a quick learner – constantly reviewing for areas of improvementExcellent people skills and ability to work with people at all levels and influence othersExposure to CFD’s and Spread BettingIdeally you will have primary markets exposure Responsibilities: Carry out CF10 (Compliance Officer) and CF11 (MLRO) duties – because of the nature of the invitation only clientbase it is a low risk business. Co-ordination Read more […]
February 1, 2012
• Tags: Compliance, Compliance Officer, Legal careers in the UK, Stock Broking recruitment • Posted in: Financial • Comments Off on Compliance Officer – Stock Broking recruitment