You will join a highly reputable, well known financial services institution which holds a market leading presence in its sector.
Year on year this firm has experienced growth and will offer you a secure, challenging and rewarding working environment.
- Investigating potential material breaches of rules and companies, largely through correspondence, document analysis and interviews;
- Investigating complaints from market participants and investors;
- Preparing reports of factual findings, analysis of breaches of the rules, companies and recommended regulatory, disciplinary and enforcement outcomes
- Preparation of informal and formal education and guidance, disciplinary action and regulatory sanctions
- Liaising with regulators and enforcement bodies
- Providing support and guidance and advice to regulation operations team as required
- Supervising and managing junior team members
- Qualified lawyer, solicitor or accountant, ideally with experience working in forensic or investigation teams;
- Ideally, experience in investigating, preparing case reports and recommending action to senior management
- Experience in audit and/or litigation would be preferred
- Previous experience working on financial services legislation is an advantage
- Strong communication skills is essential
If you feel you have the relevant experience for this newly created opportunity then please apply to have your CV sent to josh.rubin@twentyrecruitment or call 0203 189 4317.
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.