RESPONSIBILTIES
- Assist in the provision of real-time compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses
- Compliance representative or support for business-led projects/initiatives
- Developing and updating policies & procedures to applicable businesses
- Develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required
- Partner with other central Compliance teams and other support functions in resolving queries
- Co-ordinate with the broader Global Compliance Team on EMEA and Global initiatives and projects as a representative for Equities Compliance
- Assist with the annual Compliance Risk Assessment
- Partner with Surveillance and Financial Crime Compliance in resolving surveillance alerts identified systematically or via desk escalation
- Assessing the impact of new financial regulations, setting internal Compliance policies and providing appropriate guidance
- Coordinate and review responses to Exchanges/regulators
- Review and assist with Compliance sign off for electronic trading activities relating to our various businesses
- Review and assist with providing review and Compliance sign-off for marketing materials
Pay: £50,000.00-£83,000.00 per year
Benefits:
- Company pension
- Health & wellbeing programme
- Private dental insurance
- Private medical insurance
- Sick pay
Work Location: In person
