Equities Compliance Officer - EXCLUSIVE

Equities Compliance Officer - EXCLUSIVE London £80,000 to £90,000

THE COMPANY:

My client is a leading International Bank who are looking to employ a dedicated Equities compliance person. The role will entail giving effective and pragmatic advice to the business as well as creating policy and procedure, manuals, monitoring programs and all other compliance functions relating to the Equities business.

THE RESPONSIBILITIES:

• Create and review Policy and Procedure
• Provide effective advice to the business
• Liaising with the FSA, regulators and exchanges
• Participate in meetings to ensure business development
• Creation of Training materials and processes
• Create Compliance Manuals
• Ensure that records are maintained properly
• Create Monitoring programs

EXPERIENCE REQUIRED:

• Detailed Equities knowledge is a pre-requisite for the role
• Solid understanding of FSA rules
• A Degree and/or compliance qualification is an advantage

For further information please contact Duncan Jeffery

Compl3832

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