Compliance Officer

We are currently on the look for a Compliance Manager to provide compliance oversight and to promote compliance awareness and culture throughout the organisation.

The role will include the following:

• Act as Compliance Oversight (CF10) and MLRO (CF11)

• Keeping abreast of regulatory matters and relaying to staff

• Primary point of contact between the business and relevant regulatory bodies/ external bodies

• Interpret & provide advice on applicable rules, regulations, policies & procedures

• Prepare and submit reports to the FSA

• Taking all steps that are necessary to ensure compliance and the Company with all requirements, recommendations or regulations, as amended from time to time, of the UK Listing Authority, the FSA and all regulatory authorities relevant to the Company

• Establishing and maintaining effective policies, procedures, systems and controls to ensure compliance with the applicable requirements and standards of the UK Listing Authority, the FSA and any other regulatory authority relevant to the Company.

• Monitoring the Company’s compliance with internal and statutory procedures and regulations together with the effectiveness of the Company’s policies, procedures, systems and controls and producing regular reports on findings.

• Organising and participating in compliance training sessions for the Company’s officers and employees;

• Dealing with complaints from customers.

• Monitoring calls of associates and dealers of the Company to ensure compliance with internal and statutory procedures and regulations.