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Compliance Officer |
|---|
Banking and Finance |
in London City |
| our client is looking for someone who has one to two years relevant compliance experience preferably within the Investment banking/Broking industry.
Ideally you will also have the FSA qualification Microsoft office applications must be computer literate The purpose of the Compliance department is to oversee that the firm meets with its regulatory obligations and report to the Governing body/ies in respect of those obligations. The department needs to be familiar with current and future legislations and other regulations governingtheir operations and be aware of their potential impact on the firm. It is expected to take a pro-active role in ensuring staff are kept abreast of the regulations through training, procedures, guidance etc.. Dealing with Regulators/Exchanges Keep abreast of all current and future regulations and related legislations. Assist in the regulatory monitoring of procedures. Providing regulatory guidance to all staff where required. Provide any reports, findings, recommendations etc.. to Head of Department Use knowledge application to assist others in the Department |
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