COMPLIANCE OFFICER/DIRECTOR who has gained experience within a variety of investment related organisations. Responsible for ongoing regulatory compliance on behalf of clients for various jurisdictions where funds were formed and operating. Ensured compliant promotional material for specific jurisdictions for clients. Advised clients on selling activities for their own staff and IFA networks. Implemented new USA FATCA regulatory requirements. Sourced Professional Indemnity Insurance form Lloyds of London participants for clients. Licence acquisition on behalf of clients. Maintained approved persons registers for PFML and client companies. Responsible for the ongoing monitoring of clients and their investors PEP's and AML. Has built and managed a team of 15 staff. Seeking an opportunity in a compliance role where skills can be developed. Negotiable on salary around £35,000.
Chartered Institute for Securities and Investment - Investment Operations Certificate (Units: FSA Regulations, Operational Risk and Securities Representative). Securities Institute - Securities Representative. Financial Planning Certificate. Post Graduate Certificate in Education. BA (Hons) Accountancy & Finance.
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