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Assist the Head of Compliance in advising Senior Management and the Board, facilitating the Company's ability to operate in a controlled, ethical and profitable manner, in accordance with the requirements within the ever changing regulatory and financial industry environment. This includes the escalation of potential issues identified and arising through the performance of the role.
To assist the Head of Compliance in advising Senior Management on the strategic plan(s) from a regulatory perspective.
Assisting the Head of Compliance in advising Senior Management in relation to conformity to the relevant rules, regulations and control environment, including the maintenance/enhancement of an appropriate compliance and control culture.
Assisting the Head of Compliance in advising senior management in relation to systems and controls from a regulatory and control perspective.
Assisting the Head of Compliance to ensure that Compliance maintains appropriate systems, policies, processes and controls to enable it to operate efficiently and effectively
To produce appropriate management information (including reports)
Have a clear understanding of the firm's overall management information, interpreting the key aspects of this with a view to the adherence to the regulatory and control requirements
Assist in the maintenance of the regulatory risk assessment
Establish, maintain and advise upon policies, processes and records designed to manage, mitigate and/or avoid regulatory risks.
Assist in ensuring the establishment and maintenance of the Compliance assurance programme
Assist in conducting and responding to investigations / reviews, as and where required.
Assist in establishing and maintaining the training and awareness programme
Perform and manage other assignments, from time to time in accordance with reasonable requests from the Head of Compliance.
Liaise with internal and external audit in relation to non-prudential regulatory matters.
Financial Services experience (ideally from a Broking background)
The ability to review and interpret rules and regulation and implement Policy and Procudure
Knowledge of the handbook and the abiltiy to know 'where to go'
A proactive and confident demeanor
McGregor Boyall is an equal opportunity employer and do not discriminate based on race, religion, gender, age, sexuality, gender identification, or physical ability.