Unique Head of Compliance Opportunity Jobs London
The Head of Compliance will act as an independent advisor and report directly to the CEO as an in-house consultant on compliance rules and interpretation. Key Responsibilities:Enhance and develop regulatory and in-house proceduresManage the firm’s relationships with regulatory bodiesDevelop the compliance monitoring programmeComplaint handlingMoney laundering controlsFinancial promotionsMI reportingContinual training of staff on matters related to complianceKey Skills:Essential -Experience working in a retail private client stock broking environmentThorough knowledge of FSA regulation particularly Read more […]
April 19, 2011
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