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The main responsibilities for the position will be but not limited to:
Provision of proactive regulatory advice to business and support functions
Assisting with the on-going development and completion of the compliance monitoring plan
Manage the successful delivery of regulatory projects and identify and analyse new regulation and its impact on the business.
Contribute to building and maintenance of relationships with other Departments within the Firm
Conducting periodic front office reviews
Provide management and oversight in relation to surveillance.
The successful applicant will have knowledge and experience commensurate with this role and have dealt with regulatory challenges in the wholesale and capital markets sector covering equity and fixed income markets, with a background of working in an Investment Bank, Broker Dealer or professional services firm.
To apply for this role you must be able to demonstrate a broad technical knowledge and expertise covering conduct of business matters as well as FSA's SYSC requirements.
If you are interested in finding out more about this role. Please contact Chris Roots on 02033018714 or at firstname.lastname@example.org.