- Advisory to the front office
- Writing policies and procedures
- Horizon scanning
- Complaint handling
- Best Execution & Fair value pricing.
- Gifts & Entertainment & PAD approval processing
- Supporting local compliance offices and senior management from a group perspective.
- Collating MI and presenting findings to board level.
Successful candidates will have:
- Excellent communication skills and the ability to work to tight deadlines
- Knowledge of the FCA handbook and current regulatory changes (MiFID & Brexit).