Salary Bonus + Benefits
Consultant Jamie Anderson
Date posted 14 March 201811 Slingsby Place, St Martin's Courtyard London, WC2E 9AB Robert Walters United Kingdom
A multi-service stockbroker is looking for an experienced Compliance Generalist to ensure all regulatory requirements are identified, appropriate records, policies and procedures are established and that the Company’s operation is fully compliant with these regulatory requirements, legislation, rules and codes of conduct.
This multi-service stockbroker is seeking someone to join their London office with Compliance experience within a stockbroking environment ideally. They are looking for someone technically excellent with strong stakeholder management skills.
- Ensure and monitor all regulatory filings are made.
- To review and keep up to date the company on all regulatory protocols, policies and procedural manuals.
- Advise line management on all applicable regulatory obligations, including advising on business and regulatory developments and on the procedures required to ensure compliance with these obligations.
- Assist in the internal audit process checking that the business continues to be conducted in compliance with all relevant regulatory obligations.
- To monitor all aspects of the business to identify actual or potential weakness of internal controls so that prompt remedial action may be taken by line management.
- Familiarity with FCA and other relevant regulatory regimes
- An ability to interpret, understand and advise the business on a broad range or legal and regulatory issues
- Strong oral and written communication skills
- Proactive and execution focused
- Able to exercise discretion in the handling of confidential information
- Confident and competent to exercise a degree of autonomy and independent judgement
If you would be interested in this opportunity, please contact Jamie Anderson on email@example.com or 0207 509 8261.