| Job Title: | Compliance Officer |
|---|---|
| Reference: | COMPL3016 |
| Salary: | Up to £45,000 |
| Location(s): | London, London East, London North, London South, London West, Middlesex, City of London |
| Industry(s): | Financial Services |
| Advertiser: | Compliance Professionals Ltd |
| Employment Type: | Permanent |
| Posted: | 14-07-2008 |
Description:
THE COMPANY:Our client is a global Asset Manager and Third Party Administrator with businesses based in over 30 countries. They currently provide financial services to a large client base consisting of Institutions, Private Clients, Wealth Management and Mutual Fund Investors.
THE RESPONSIBILITIES:
Interpretation and provision of guidance to senior management and operational areas in relation to regulatory change
Providing ad-hoc regulatory advice to business areas
To monitor the application of relevant regulatory rules by the business
Report all compliance concerns to Management and European Risk Committee and recommend additional or enhanced procedures to maintain the required control environment.
Performance of Desk based Compliance monitoring of Management Information
Oversee the maintenance of compliance department regulatory databases and associated monitoring activities.
Management liaison on regulatory matters.
EXPERIENCE REQUIRED:
Securities Institute merit award preferable.
Knowledge of corporate trust, custody, treasury, asset management or securities trading is essential
For further information please contact Spencer Evans
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