Senior Compliance Officer

  • Job Reference: 13044
  • Date Posted: 31 March 2021
  • Recruiter: Carr Lyons
  • Location: London
  • Salary: £65,000 to £70,000
  • Sector: Compliance
  • Job Type: Permanent
  • Work Hours: Full Time
  • Contact: Duncan Jeffery
  • Email: duncan.jeffery@carrlyons.com

Job Description

Senior Compliance Officer – Ref 13044

 

Reporting directly to the Head of Compliance you will assist with all aspects of compliance with relevant and appropriate regulations

 

The role

Support the development and management of the compliance manual and policies & procedures

Familiarity with Monitoring plans

Knowledge of SMCR, MiFID, EMIR

Review, create and implement relevant and appropriate policy and procedure

Provide compliance advice

Monitor the regulatory environment, horizon scanning, assist the business with implementation and understanding of such

Compliance training

Financial Promotion signoff

Support and manage compliance risks

 

You

5 years relevant experience

Knowledge of FCA regulation, specifically – SYSC, SMCR, COB and CASS

Commercially aware