BROWN SHIPLEY & CO Salary
2 MOORGATE LONDON EC2R 6AG ENGLAND
TIN: 00398426
BROWN SHIPLEY & CO Premium profile inactive Premium profile inactive
Earnings on positions in BROWN SHIPLEY & CO
BROWN SHIPLEY & CO is looking for employees for positions:
compliance officer
Working hours
- full-time | Permanent
Language
- english
Requirements
- working knowledge of the FCA handbook across, investment management, wealth planning and lending
- ability to engage people effectively in order to recognise and achieve agreed outcomes
- client money, SMCR training and competence and general control framework
- ability to understand regulatory text – regulation, directive, guidance – and understand the practical implications and applications of that
- excellent business writing skills the ability to summarise at high level as-well-as explain detail findings clearly and concisely
- ability to apply root cause analysis to findings in order to create effective actions
- demonstrate a fundamental understanding of the audience and the aim of the report at hand
- familiarity with ESMA and EBA rules and the interaction between European legislation and FCA/PRA Delivering and/or assessing delivery of, the FCA handbook described above through analysis Delivering regulatory change within a firm Responsibility, expectation and governance of a 3LOD model
Responsibility
- daily completion of Market Abuse Monitoring activity
- supporting and undertaking Compliance Reporting