Salary £40000 - £60000 per annum + + bonus + benefits
Consultant Emily Pearce
Date posted 30 January 2017
A Global Investment Bank is seeking a Registrations Compliance professional to support their growing Central Compliance Team based in London. This role will be focused on working with the team on FCA Approved Persons Registrations as well as maintaining internal compliance policies in relation to conflicts management.
This Global Investment Bank is looking for a Registrations Compliance person that is methodical, has an understanding of the requirements surrounding Registrations with respect to the FCA and a strong independent worker.
- Manage FCA Approved Persons Compliance Registrations, de-registrations, competency and training
- Assist with policy and procedure drafting to ensure the business comply with regulatory requirements
- Tracking and submitting UK/US regulatory filings on FCA and FINRA systems
- Responding to queries from the FCA surrounding Approved Persons Registrations
- Strong knowledge of the UK regulatory framework within financial services
- Ability and willingness to demonstrate initiative, accept accountability, work independently
- An understanding of the FCA handbook and rules regarding Authorisations
- Knowledgeable on regulatory developments
If you would be interested in this Registrations Compliance opportunity, please contact Emily Pearce on email@example.com or 0207 509 8358.