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Head of Compliance Advisory

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Key Responsibilities:

  • Lead and manage the Compliance Advisory team on a day-to-day basis
  • Contribute to regulatory change and business change projects as required;
  • Responsible for the delivery of day-to-day Compliance Advisory operations to the business including suitability, vulnerable clients, financial promotions, personal account dealing, conflicts of interest, gifts and hospitality, shareholder and takeover disclosures,SM&CR, CASS, Compliance due diligence questionnaires and rules related to collective investment schemes;
  • Maintenance and improvement of Compliance policies in line with best practice and engagement with the business to ensure embeddedness of said policies;
  • Coordinate and deliver Compliance training, including induction training;
Key Experience:
  • Previous Senior Compliance Experience
  • Experience working within buy-side organisations
  • Strong knowledge of COBS, COLL and SYSC
Please contact Nicole Poole at Danos Consulting to learn more about this opportunity.

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