A well established financial services company specialising in investment management and stockbroking is seeking an experienced investments Compliance professional to join their team. This role is specialising in regulatory advice and developments, assisting with the interpretation and impact analysis of the regulatory rules.
Key responsibilities ·To provide a proactive and technical service to the business on the interpretation and guidance of the FCA's rules ·To provide impact assessment and gap analysis for any new FCA initiatives ·Liaison with the monitoring team to update risk assessment, scheduling and focus of the compliance monitoring programme ·To assist with the preparation of Management Information to management committees as required ·To provide technical advice and assistance to the data privacy advisers ·To assist with Group policies and procedures reviews, updates and enhancement as required ·Attend trade bodies and or external meetings, seminars
Experience & Qualification Requirements: You will have at least 3 years experience in Compliance within investments or stockbroking and demonstrate a clear desire to develop your career within investment compliance.
Please quote 43888 when calling Alexander Lloyd.
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