Our client is looking to recruit an experiened individual to join their expanding compliance team, to undertake file reviews to ensure that their business is providing the highest standards of advice to their clients, in line with company and FCA regulations.
Working with the Compliance Team in delivering the FCA regulatory issues and assimilating and implementing regulatory requirements in a timely manner and within imposed deadlines.
Assisting the Compliance Team in delivering and maintaining the Annual Compliance Plan, updating policy and procedures in line with FCA requirements ensuring regular reviews are conducted.
To manage the upkeep of the Compliance Monitoring Programme, ensuring tasks assigned to the business are completed in a timely manner.
A commitment to continuously improve and a desire to provide a "best in class" service to the operational business has initiated a multi-year digital transformation programme.
They are seeking a Commercial and Regulatory Lawyer to join their Compliance Team as in-house legal counsel.
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