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| Company |
GENERATIONresourcing |
| Job
Title: |
Head of Compliance officer needed– Stock brokerage 40k- 60k |
| Job
Category: |
Accounting |
| Job
Description: |
Head of Compliance officer needed– Stock brokerage 40k- 60k
My client is a rapidly growing stockbroking firm established in 2007 with more than 2000 clients. The business is looking to recruit a suitably experienced individual to oversee the day to day compliance monitoring for its advisory, retail-client stockbroking floor which specialises in AIM and CFDs.
The role encompasses overall responsibility for the firm’s monitoring programme together with the complaints handling process, staff training, approval of financial promotions and other tasks as required.
The candidate would be liaising with the company directors on a daily basis and would also be reporting to the CEO – who fulfils the Compliance Oversight role. Furthermore, the company utilise an external compliance consultancy firm for the provision of guidance specifically with regards to new FSA principles/rules and the candidate would be expected to liaise with them when required.
Responsibilities
• Working with CEO and compliance consultants to establish and develop policies and procedures to ensure the firm adheres to the FSA’s principles and rules.
• Liaising with senior management of the firm to ensure that the compliant dealing culture is maintained.
• Reviewing and approving all financial promotions
• Providing training to all employees to ensure that they remain abreast of regulatory and internal rule/policy changes.
• Overseeing (and involvement with) day to day call monitoring programme
• Dealing with complaints including corresponding with FOS if necessary
• Supervising and assisting in the development of other members of the compliance team (there is currently one other compliance employee).
• Completing ad-hoc reviews of client files where necessary
• Controlling the client take-on process by ensuring that sufficient KYC information is obtained from clients
The salary and package are totally based on experience. You show me you’re the person who knows how to get the job done and you can get a fabulous package on the table.
Send your CV today!
confidence on 01992 55 25 55
Generation Resourcing is one of the UK’s leading sales recruitment consultants in financial and investment sales. We have a depth of experience throughout the company, with many of our staff coming from your side of the industry. We therefore understand your problems, can manage your expectations and find you the right job at the right time.
With dozens of senior, trainee & FSA qualified broking positions available, there’s no better time than now to find your dream job!
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| Skills: |
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| Employment
type: |
Permanent |
| Salary/Hourly
Rate: |
From: 40000 To: 60000 £ GBP |
| Min.
Qualifications: |
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| Min.
Experience (Years): |
1 |
| Job
Location: |
City of London - UK |
| Post
Date: |
19 Nov 2008 |
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