Senior Legal Regulatory Affairs Officer

4 weeks ago

Tunbridge Wells Kent, United Kingdom meraki talent ltd Full time

Meraki Talent are currently working with an Investment Management company with a strong stock brokering background.

If you want to know about the requirements for this role, read on for all the relevant information.

There is an excellent opportunity for a Senior Compliance officer to join their team, this role is based in Kent and operates on hybrid model. This is 6 month contract role.

This role will report directly to the head of compliance

Key Responsibilities include.

• the head of compliance with implementation of compliance and regulatory rules
• the firm meets all regulatory requirements and or conduct risks
• reporting that is clear and conclusive of assurance activities
• regulatory changes and ad hoc compliance changes
• receipts of the FCA notice and good practice guidance
• in the preparation of regulatory submission
• maintain and update technical regulatory knowledge#

The ideal candidate will have.

• experience working within compliance for a financial services institution with a good experience FCA & regulations governing investment/ stockbroking business
• experience in compliance and risk management
• and control procedures
• written and verbal communication skills
• experience to mentor and manager junior members of staff

Please be advised there is no sponsorship available for this role.

They are looking for a candidate who is analytic, flexible, great at planning and organising they will also have great people management skills and can manage information well.

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