THE COMPANY: Our client is an international financial services firm engaging in wholesale banking activities.
THE RESPONSIBILITIES:
1. Undertake compliance monitoring in accordance with the firm’s CMP.
2. Prepare reports in respect of all monitoring for review in accordance with Company guidelines.
3. Assist the Compliance Officer with monitoring of outsourcing.
4. Assist in arranging relevant compliance training for all staff.
5. Ensuring the business can respond in a timely basis to requests for information from the FCA.
6. Ensuring that all individuals performing a controlled function receive regulatory approval before commencing duties.
7. Ensuring the annual Certification of staff is completed in a timely manner.
8. Ensure all compliance registers and relevant records are maintained and kept up-to-date.
9. Ad-hoc projects as requested.
EXPERIENCE REQUIRED:
1. Good knowledge of the FCA Rules.
2. Compliance monitoring experience.
3. Ideally from a wholesale banking or securities environment.
4. A flexible approach and strong communication skills.
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