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Central Compliance Officer

This job is no longer available

Recruiter
Real Staffing
Posted
08 October 2012
Closes
05 November 2012
Ref
RE-12425215
Contact
Michael Richards
Location
Contract Type
Hours
Salary
£40000 - £50000 per annum

Further information

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
Location:CanaryWharf

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

Real Staffing

Real is a global leader in the provision of pharmaceutical, biotechnology and medical devices recruitment services.