Compliance Officer

• 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.
• 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.
• Liaising with the regulator and ensuring all regulatory returns and ad hoc notifications are submitted on time.
• Maintaining the Firm's regulatory files and registers.
• Providing support and training to the group's Compliance Offic...

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