Description
Compliance Consultant - Personal Account Dealing - PA Dealing - Asset Management - FCA Rules - SEC Rules - Sungaurd APT
My client, a leading global Asset Manager are currently looking for a Compliance Consultant to work as part of a busy in house compliance & legal team with a focus around on going Person Account Dealing requirements for both FCA & SEC Rules.
Suitable candidates must have experience of:
1. Personal Account Dealing for both FCA and SEC rules
2. Ability to define and write policies and procedures
3. Preparation of Management Information
4. Sunguard PTA
5. Excel, including macros
Compliance Consultant - Personal Account Dealing - PA Dealing - Asset Management - FCA Rules - SEC Rules - Sungaurd APT