Regulatory Compliance Assistant Manager - FTC

18 Apr 2019
16 May 2019
Job Type
Contract Type
Regulatory Compliance Assistant Manager

Reference number: 7453

Contract type: 12-month fixed-term contract

Salary: Competitive

Location: Birmingham City Centre

Are you an experienced Compliance professional looking for the opportunity to join a successful multinational investment bank? If so, Bell Cornwall Recruitment would love to hear from you!

Our well-established client are seeking a candidate to join their Compliance team to cover maternity leave. The successful candidate will be reporting to the Compliance Manager and will also be managing a Compliance Administrator.

Duties include:

* Dealing with compliance queries (relating to FCA, LSE Regulation, PRIIPS Regulation, etc.)

* Providing compliance oversight for the whole firm

* Overseeing work completed by the Compliance Administrator

* Investigating and responding to compliance complaints

* Analysing business risk incidents and regulatory breaches

* Maintaining expert knowledge of regulatory requirements

* Designing and delivering training programmes relevant to the firm

Requirements of the ideal candidate:

* A minimum of 3 years' experience in regulatory compliance

* Previous experience working within an investment bank

* Knowledge of CASS rules and market abuse

* Hold a CISI qualification

* Ideally available immediately or with a short notice period

* Knowledge of MIFID II / Investment Rules

*Finance Analyst* *Compliance Manager* *Compliance Assistant* *CASS* *CISI* *Investments*

Interested? Please click the 'APPLY' button now!

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(For the purposes of recruiting for this vacancy Bell Cornwall Recruitment is acting as a recruitment agency. Bell Cornwall Recruitment is an equal opportunities employer who welcomes applications from all age groups)