Central Compliance Officer
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.
- 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
To find out more about Real Staffing please visit www.realstaffing.com