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Legal Risk and Compliance Officer
3 months ago
Job Description Compliance Officer
An exciting opportunity has arisen to join a boutique trading house that are looking for someone to join their compliance team in a generalist compliance officer role, there will however be a focus on the Compliance monitoring and assurance program however there will be the opportunity to get involved with areas across compliance.
This is an exciting opportunity for someone who wants to get more visibility across compliance and work with in a small but experienced compliance team, they are looking for some monitoring/risk assessment background, that are eager to learn and work within a fast paced environment.
Implementing the roll out of the Compliance Monitoring Plan, including conducting Compliance Control and Assurance assessments.
Leading on Risk and Control Assessments for Conduct and Compliance Risk including development of Risk & Control Self-Assessment mapping and process to enable a thorough analysis of the business’ compliance and conduct risk and control environment to identify significant gaps and weaknesses and determine root causes in collaboration with risk owners and stakeholders.
Proactively monitoring progress of, championing and supporting the business on control remediation work relating to Compliance issues.
Analysis and interpretation of relevant laws and regulations, including identifying changes to these that could affect the business conduct and compliance risk profile.
Producing reports for senior management on above compliance activities.
Assist or lead on drafting policy and procedures to address compliance requirements.
Assist with investigating and resolving ad hoc queries from regulators and exchanges.
Assisting with giving compliance related staff training
Experience undertaking compliance risk and control assessment work.
Experience using databases and other tracking tools to enforce consistency across the group.
Excellent writing and presentation skills.
Strong knowledge of regulatory requirements applying to a sell-side firm or Buy-side firm.
a minimum of 2 years of compliance experience
