Search for live jobs like this one.
Compliance Officer |
|---|
Banking and Finance - Compliance |
in London City |
| The Compliance Unit provides essential control disciplines for the UK firm and all its personnel in their adherence to Legal, Regulatory and Audit obligations.
The objective of this role is the control and maintenance of critical databases working within a small team. Research and reporting on various ad-hoc projects. The Responsibilities Control and maintenance of the contents of Prohibited Securities List. Responding to general enquiries relating to the above including advising on interpretation of it. Quarterly returns. Control and maintenance of other Database(s) Pro-active involvement with processing Ethics and Independence certification process. Control and maintenance of Website. Other ad-hoc duties which may reasonably be deemed to come within the scope of the post and assisting in the other areas of compliance (Money Laundering and Data Protection). This role may in due course feature a more junior management/supervisory element to it. The Person Candidates should have a knowledge/experience of working within a Compliance or Internal Audit environment including checking processes to ensure procedures were adhered to. Desire to specialise in Compliance. An understanding of the Securities Market is desired but not essential. Literate in Microsoft Word, Excel, email and Internet explorer. An ability to adapt to a wide range of tasks and projects with varying deadlines. A flexible approach to work undertaken and a willingness to be part of a team. |
Search for live jobs like this one.
Contained here is an archive of the jobs posted on London Office Jobs. This is purely for reference. Applications for this job in London cannot be made. If you wish to find current vacancies please use the search option contained in the menu.
For more office Jobs in London
