|Location:||City of London, London|
Compliance & Legal
|Salary:||£45000 - £55000 per annum + Benefits|
|Job Published:||almost 5 years ago|
The Technical Compliance Advisor will be responsible for the following duties:
- The provision of the interpretation and guidance in respect of the FCA's rules to the business.
- Provide feedback to the FCA on the appropriate consultative documents
- Provide an impact assessment and gap analysis for any new FCA initiatives as they affect the business.
- Responsible for Conduct Risk and TCF
- Provision of Compliance training
- Liaison with the monitoring team to update the risk assessment, scheduling and focus of the CMP
- Assist in the resolution of errors, breaches or other incidents
- Update and enhancement of applicable Compliance policies and procedures manuals to include Code of Ethics and Conflicts of Interest.
- Act as the DP Officer
- Provision of regulatory advice for BCP
- Responsible for special regulatory projects - MiFID 2, FACTA, SMR etc
- Provisio of MI for reporting to senior management.
To be considered for the above position the ideal candidate should possess the skills and attributes:
- 3 to 5 years Compliance or regulatory experience
- Wealth Management, retail discretionary asset management or stockbroking experience
- Knowledge of and the ability to be able to source from the FCA handbook including - COBs, GENPRU, BIPRU etc
- Educated to degree level or equivalent.
In exchange for the above my client is offering the opportunity to join the Compliance team of a leading organisation at an exciting phase of their reorganisation.