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- Link:Senior Compliance Manager from LCG Markets
- Dates: All year 2018.
- Job location: London, UK.
- Job description: Advise front office on relevant requirements. Provide guidance regarding FCA rules applicable. Be updated about jurisdictional changes and challenges throughout Europe. Respond to regulatory enquiries. Prepare reports for internal management. Develop and implement an appropriate Compliance Strategy. Monitor and assess the effectiveness of systems and controls. Review and update Policies and Procedures. Oversee Approved Persons registrations and de-registrations. Ensure the appropriateness assessment is up to date with regulatory requirements. Maintain knowledge of regulatory developments and current affairs concerning sanctions. Conduct annual Risk Assessments.
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