Compliance Advisory – Reg response & Reporting

Pure Search

Find out more

– own delivery on reg enquiries, be a key contact for regional regulators

– provide compliance advisory/partnership function for the business and product development on applicable rules and regs

– Aligning policies and procedures to reg requirements and undertaking periodic review, incorporating monitoring procedures for a key line of business.

– as a compliance SME partner with Risk and other governance functions on compliance risk issues

– champion the compliance agenda – providing training to business with a focus on sales/product teams

Ideal Experience:

– Complex Banking/Financial services compliance experience (Etrading- multiple asset lines ideally or Exchange/reporting services compliance experience

– deep UK/EU reg reporting framework knowledge – with a focus on FCA Handbook, MiFID II reporting requirements coupled with implementation of regulator expectations (FCA/ESMA)

– drafting & implementing compliance policies and procedures

Find out more

Source link

Add a Comment