Description
My client is currently seeking a Senior Compliance Consultant to join the team, who will help manage and undertake activities to help with the change and improvement of its current operations.
The role includes activities such as:
- Making assessments on the current regulatory framework for an equity broker
- Asses compliance policies and procedures and identify gaps and execurte plans to remediate these
- Leverage and create processes to support an equity broker into an existing compliance framework
- Working closely with the business and other business partners such as legal and audit
CANDIDATES MUST MEET THE FOLLOWING REQUIREMENTS TO BE CONSIDERED FOR THE ROLE
- Extensise experience advsing equities brokerage divisions
- Extensive knowledge of US and European regulations and how these impact the; broker, market and its clients.
- Strong knowledge of the regulations and polices including affiliate transactions and conflicts of interst impacting the BAU interaction of the broker with; custody, banking and asset management divisions within the group.
- Strong track record on delivering projects
- Previously worked on development of regulatory frameworks and carried out gap analysis on existing companies policies and procedures
- Worked closely both the business and partners (legal, audit etc)
Allegis Group Limited and Aston Carter Limited operate Employment Businesses and Agencies and are companies within the Allegis Group Inc. group of companies, the fourth largest staffing company in the world, (collectively referred to as the "Allegis Group"). TEKsystems and Aerotek are divisions of Allegis Group Limited. Applicant data will be treated in accordance with the Allegis Group's Privacy Notice). By submitting personal data to any company or division within the Allegis Group, the applicant is providing explicit consent to the use of such data by the Allegis Group and to the transfer of such data to and from the Allegis Group companies within the UK, Europe and outside the European Economic Area in connection with the fulfilment of the applicant's voluntary requests, and the fulfilment of other job opportunities that match the applicant's profile, and confirms that they may be contacted about such job opportunities.