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Compliance Officer
Eingestellt von GCS
Projektbeschreibung
- Understands the nature and context of compliance environment that all UK based financial institutions face;
- Provides compliance advice and guidance on all CASS and Transaction Reporting issues.
- Recognises the unique regulatory risks and mitigating actions that banks and stockbrokers face, such as from relevant legislation, the PRA and FCA Handbooks, and appropriate industry guidance; and recognise the firm specific context and regulatory risks that the firm faces;
- Considers how these regulatory risks are currently controlled and makes recommendations for an appropriate control regime;
- Ensures that all required policies, procedures and operating activities are fit for purpose;
- Assists the Head of Compliance to embed the principles of soundness and safety, and of good consumer outcomes, within the firm in order to demonstrate that the firm can continue to meet its Threshold Conditions;
- Advises the business to enable it to be able to demonstrate, on an on-going basis, that it can meet its Treating Customers Fairly objectives;
- Contributes actively towards the effective leadership and management of the Function;
If you are interested in this vacancy please send an updated CV and I will be in touch.
Projektdetails
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Einsatzort:
City, Vereinigtes Königreich
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Projektbeginn:
asap
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Projektdauer:
6 months
- Vertragsart:
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Berufserfahrung:
Keine Angabe
Geforderte Qualifikationen
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Kategorie:
Sonstiges