This British firm is a leading provider of investor services to an institutional client base including dealing, custody and settlement services. The firm has small collegiate office but has significant market share with excellent culture and work life balance.
The primary responsibility of this role is to provide regulatory support to the whole firm covering a diverse range of businesses by performing varied activities including providing advice, trade surveillance, control room and monitoring activities.
Your responsibilities may include:
- Assisting in the delivery of all aspects of compliance monitoring
- Conducting thorough reviews to ensure compliance with regulations and internal standards
- Approval of financial promotions and research
- Management of the PA dealing process
- Maintaining the gifts and hospitality register
- Ad-hoc compliance duties as required
To be considered for this job, you will have the following experience:
- Educated to degree level
- Knowledge and experience of a similar wholesale, retail or professional services firm
- Relevant regulatory knowledge including some of the following: COBS, CASS, SYSC, MAR, LSE and other rules, MiFID II, HMRC ISA Rules, JMLSG
- Confident and independent self-starter willing to take ownership of issues and drive to resolution
- Ability to learn quickly and solve problems
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes, Financial Crime Compliance Recruitment Consultant at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.