Compliance Associate - Corporate Finance and/or Securities Trading EXP Required
Our client, a leading niche investment bank is looking for a Compliance Associate. In this challenging and varied role, duties include:
• Assisting the Compliance Officer in ensuring that the firm complies with all of the regulatory requirements placed upon it by all the relevant authorities, through the effective provision of policy guidelines, monitoring programmes, compliance reviews and associated management reporting.
• Assist the Compliance Officer to conduct risk assessments to identify, assess and communicate the compliance risks associated with the firm’s business activities, ensuring that the firm is in compliance with all regulations.
• Using the risk assessments, implement and operate a compliance monitoring programme to ensure compliance with all relevant rules and regulations and compliance with all relevant internal policies and procedures.
• Act as a contact point within the firm for compliance queries from staff members.
• Maintaining and monitoring personal account dealing and produce management information for the Compliance Officer and the Board.
• Maintaining and monitoring insider lists and producing management information for the Compliance Officer and the Board.
• Maintain and monitor all regulatory and business policies, procedures and related manuals to ensure that they explicitly define procedures and control activities to ensure compliance with regulations.
• Ad Hoc Projects
You should have at least two years experience (possibly more) of compliance in Investment Banking i.e. Corporate Finance and/or Securities Trading, with a genuine knowledge of the technical aspects of the financial markets as well as hands on experience of the FCA rules as they apply to these areas, along with the ability to extract relevant rules and guidance from the Handbook. This should have included some experience of monitoring although the role is much broader.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at firstname.lastname@example.org
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge