About the Role
Identifying compliance risks and advising on appropriate policies, procedures, systems, and controls.
Documenting the organization, responsibilities and procedures of the Firm’s compliance function.
Ensuring compliance breaches are readily identified, reported, and acted on.
Keeping senior management up to date on changes in relevant regulations and their implications.
Key Responsibilities
- Preparing the Firm for risk assessment visits.
- Reviewing the Firm’s marketing materials
- Processing applications for the registration and withdrawal of individuals
- Ensuring that employees receive training on what must or must not be done to ensure compliance
How to Apply
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