Job Title:	Compliance Officer
Reference:	Compl3002
Salary:	£Market Rate
Location(s):	Middlesex, London West, London South, London North, London East, London, City of London
Industry(s):	Financial Services
Advertiser:	Compliance Professionals Ltd
Employment Type:	Permanent
Posted:	26-06-2008

Description:

THE COMPANY:

Our client is one of the largest stockbrokers in UK. They offer a range of products which include UK and International shares, derivatives and unit trusts amongst others. They are recruiting for a Compliance Office to head up their compliance team. This is a fantastic opportunity to progress your compliance career within a reputable firm.

THE RESPONSIBILITIES:

Daily monitoring/compliance review – monitoring will encompass all areas of FSA regulated activities in front office, operations, custody, third party suppliers and settlement and finance

Responsible for the company’s relationship with FSA

Review of FSA rules and consultation documents and to brief business on impact and to ensure implemented efficiently

Monitoring and alerting the management to regulatory or business changes within the financial services community both in the UK and Europe

Review of advertising and all new products and service developments within the business to ensure ongoing regulatory compliance

Specifying the training requirements for all employees of the company based on their roles, and legal requirements

Supervising the complaints handling process

Involved in ad hoc projects that may include product development

To ensure that the company's anti money laundering procedures meet FSA & Group requirements.

EXPERIENCE REQUIRED:

Relevant compliance experience gained ideally within a stockbroker

Good knowledge of the FSA rules and regulations

Ideally educated to degree level or posses a professional qualification

For further information, please contact Duncan Jeffery

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