Description
Compliance Officer/Coordinator based in London with a Large Investment Client
£250 per day
* Develop compliance policies and procedures.
* Assist in conducting Business training
* Carry out the PA dealing approval process, Gifts & Entertainment approval process and the Approved Persons regime at AI.
* Carry out the SEC Access Persons process.
* Assist in the oversight of Complaints process, position reporting and Conflicts of Interest.
* Assist in the maintenance of the Compliance Manual and Compliance Desk Procedures.
* Assist in the production of the monthly compliance management information pack.
* Ensure all records are kept up-to-date.
Hy-phen Limited is acting as an Employment Business in relation to this vacancy.
The Adecco Group UK & Ireland is an Equal Opportunities Employer.