Become a Compliance Officer for a leader in the Brokerage industry.
Opportunity to work in a fast growing environment in the Compliance field.
About Our Client
Our client is a leader in the brokerage industry.
- Perform Regulatory reviews using a risk based approach
- Develop the Compliance Plan
- Liaising with the Compliance Manager to produce reports, to discuss results and recommendations with the business and to assign owners to findings
- Assist with tracking findings and recommendations and ensure these are closed within agreed time lines
- Escalate issues which are not remediated within agreed timeframes to the Compliance Manager
- Liaise with the Compliance Manager, the business and support functions to identify risk areas, investigate issues and agree recommended actions
- Conduct investigations (regulatory and internal) when required
- Provide input into assessing the effectiveness of the Risk Assessments
The Successful Applicant
To the benefit of a Master in Finance (or equivalent)
Min. 2-3years' experience within a Compliance function. 1years' experience within a reviews / monitoring role.
A good understanding of the relevant regulatory handbooks
Knowledge of trading systems (e.g. Fidessa, Bloomberg, Reuters etc.) and PC skills (including Excel and PowerPoint)
Excellent communication skills including the ability to articulate information in a clear and precise manner in order to influence thinking and decision making at all levels of the organisation
Excellent report writing
Attention to detail and ability to spot anomalies
Good organisational and time management
What's on Offer