• 28 July 2010
• Reference: JR230217

• Compliance Officer

• City of London GBP250 - GBP300 day Contract

The world's premier inter-dealer broker and provider of post trade services seeks a Compliance Monitoring officer on a fixed term contract basis.

Joining a close knit team undertaking real time and post trade monitoring of trading activities within the London business, the Compliance officer will perform the following duties in accordance with the FSA rulebook on deal, order handling and execution; market abuse; conflicts of interest; best execution; investment research; PA dealing; client communications and pre and post trade transparency and also work in the following capacity


-To work with senior management in promoting a values-based compliance culture across the Group and to this end provide support for TCF being at the core of all Bestinvest's activities.

-Compliance Advice: To advise Business at all levels on matters of regulation, regulatory-risk and business quality: including ad hoc requests for advice [reactive]; and regulatory change [proactive].

-Regulatory Risk: To maintain an effective Regulatory Risk Management Plan (in conjunction with CEO/Directors); advise on substantive controls and ongoing effectiveness. Maintain a good awareness of FSA rules and expectations. In particular, the RDR.

Compliance Monitoring: To maintain an effective day-to-day monitoring programme and feedback mechanisms in terms of T&C and business processes: -
-New business/new accounts;
-Ongoing servicing;
-Financial promotions/other business literature/agreements/'key facts';
-Personal Account Dealing/gifts/conflicts of interest et cetera;
-File checking
-Handling of complaints
-Training & Competence: To assist in the development of the company's scheme and audit compliance with, and effectiveness of, the scheme generally; design and delivery of compliance training.
-Anti-Money Laundering: To assist the MLRO on all day to day activities. Monitoring compliance with ID/KYC procedures; overseeing firm's compliance with FSA's requirements for AML; making external reports on own initiative and reporting to CEO on critical AML systems & control matters.
-FSA Relationship: To manage the firm's relationship with the Regulator and navigate its various processes


Please contact us immediately to discuss the role of Compliance Officer and apply via the website.




Joslin Rowe - Winner of 4 UK Recruiter Awards including Best Accountancy/Financial Recruitment Firm and Best Office Support Agency.
Joslin Rowe is a Randstad company. Joslin Rowe Temporaries Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK. Joslin Rowe Temporaries Ltd is acting as an Employment Agency in relation to this vacancy.

View on map
• Send to a friend

Keywords related to this job

• Compliance,
• Compliance Officers / Analysis,
• City of London,
• Contract,
• Brokerage House,
• monitoring,
• market abuse