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Compliance Advisory Officer - Brokerage

  • Location London
  • Job type Permanent
  • Reference LUComplianceAdvisory

Key responsibilities:

· Develop and maintain relationships with senior management

· Provide timely and accurate regulatory advice to the business

· Perform Regulatory Analysis; identifying the risks of new regulation on the relevant business areas

· Draft policies and internal procedures

· Perform investigations into the activities within the business to ensure compliance

· Write and deliver compliance training

· Represent the Compliance Function on the internal Change Management Governance meetings and on projects delivering regulatory change

Successful candidates will have:

· Advisory experience within a bank, broker or capital markets firm