Compliance Advisory Officer - London

A Major Broker is looking for someone to join their compliance advisory team.

Main purpose of the Role:

• To provide advice, guidance, direction and interpretation on compliance and regulatory matters across the Firm and to drive forward a compliance culture.
• To manage the relationship between the Compliance department and business stakeholders.

Responsibilities:

• Provide ongoing advice to the business and resolve day to day issues in relation to compliance and regulation including financial crime and exchange rules.
• Participate in business change and the new product approval processes as the compliance representative.
• Assess the impact of regulatory change on specific business areas, products and processes.
• Ensure breaches are identified, escalated and mitigating activities agreed.
• Act as subject matter expert in relation to primary areas of responsibility.
• Review output of the compliance risk assessments with the Monitoring team to ensure consistency
• Provide input into and assist with the drafting of relevant Compliance policies and procedures.

Experience:

• In-depth understanding of the FSA handbooks and other relevant regulations.
• Working knowledge of a wide range of products and services including but not limited to equities, fixed income, derivatives, commodities, FX and spread betting across all asset classes for all client types.
• Able to design and deliver compliance training which is appropriate for the audience.
• Knowledge of trading exchanges advantageous
• Experience of working with Senior Management and regulatory bodies is required.

For a confidential chat about this or other roles he is handling please contact Matt Pollard in the Jameson Legal London office / matt.pollard@jamesonlegal.com

Jameson Legal acts as an employment business for temporary recruitment and as an employment agency for fixed term contract and permanent recruitment.