- Conduct thorough reviews of potential conflicts of interest arising from investment banking, research, and other business activities.
- Implement and enforce policies and procedures to ensure compliance with relevant laws, regulations, and industry standards.
- Monitor and review personal trading activities, public appearances, and outside business activities of employees to identify any potential breaches.
- Collaborate with various departments to provide guidance and training on compliance matters.
- Stay abreast of regulatory changes and industry trends, proactively assessing their impact on our business operations.
- Contribute to the development and enhancement of compliance programs, systems, and controls.
- Strong knowledge of financial regulations (FCA, PRA, EU)
- Previous experience in a control room, central compliance, or similar function within the financial services sector.
- Excellent analytical and problem-solving skills with a keen eye for detail.
- Ability to work effectively under pressure and manage multiple tasks simultaneously.
- Strong communication skills, both written and verbal, with the ability to liaise confidently with stakeholders at all levels.
For details please get in touch email@example.com