The role will be mainly focusing on Compliance Monitoring, actively taking part in the formulation of an annual Compliance plan. Conduct the Compliance Monitoring programme covering the Firm's regulated business including, but not limited to:
Please apply if you are interested in the role or reach out to Bradley Handelaar at Danos Consulting for more details.
- Monitoring of portfolio management and trading activities
- Monitoring of marketing & sales activities and distributors
- Conducting reviews on the Market Abuse controls
- Conflict of interest management
- Compliance induction training
- Approving personal trades, gifts and entertainment, external interest requests
- Maintain awareness of regulatory/compliance developments
- Working with business areas on the firms SMCR framework.