They have an exciting new senior opportunity within their Compliance Advisory team where the main responsibility will be leading and managing a small team of compliance specialists providing front line advisory support to stockbroking and wealth direct businesses.
The successful candidate will have:
Considerable regulatory compliance experience gained within a stockbroking environment (or private banking if you have gained exposure of end to end trading) including monitoring/audit experience.
Demonstrates good commercial experience, capable of advising on business regulatory change projects (eg a number of product lines across various platforms).
Capable of managing expectations of senior management and conduct of business matters, sales and distribution of products including financial promotions.
Be able to understand the balance between commercial and regulatory risk when dealing with a large sales force.
Reporting to clients, regulators and exchanges.
Operations experience preferred.
Confident and highly capable individual who can build credibility throughout the business.
Please contact Diane O’Neil (Manager – Financial Services & Investment), in confidence, on 0141 564 3165
HR Consultancy acts as both an employment business and an employment agency
Job Reference: 885775
Closing Date: 21-Apr-2011
