Central Compliance Officer

£40000 - £50000 per annum
08 Oct 2012
05 Nov 2012
Michael Richards
Full Time
This is an excellent opportunity for a Compliance professional that has gained experience in an approved persons function at either a wholesale bank or brokerage, and is ready to take the next step in their career.

As Central Compliance Officer, your responsibilities will include:

  • Process and manage approved person applications.
  • Review and approve conflicts of interests and PA dealings.
  • Update and circulate the Restricted List and Watch List as appropriate.
  • Maintain Insiders Lists.
  • Approve wall crossings.
  • Submit all necessary notification and disclosure and transparency forms to the Takeover Panel and FSA and respond to related enquiries.
  • Respond to queries surrounding gifts, hospitality and entertainment.
  • Approve or reject requests for the provision or receipt of gifts, hospitality and entertainment.
Key Skills required:

  • Compliance experience working in a large corporate environment.
  • Experience of a trading environment is preferable.
  • Experience working in an approved persons function
  • PA dealing experience
  • Experience handling gifts and entertainment requests

Salary: £40 - £50k

If you have experience working within a central compliance function at a large corporate firm, and would like to enhance your career at a leading FS provider; please send your CV to me for consideration

To find out more about Real Staffing please visit www.realstaffing.com