Compliance Generalist

Location

East Sussex

Salary Sought

Negotiable

Reference

215353

Applicant Profile

COMPLIANCE GENERALIST who has worked in a variety of areas in compliance including monitoring/audit, CONC, PRIN, SYSC, Conduct Risk, COS, TCF, AML, KYC, 3 lines of defence, data protection including sound knowledge of GDPR and PIA’s, management, complaint handling and policy making. Previously as a Training & Compliance Supervisor, held responsibility for a number of IFA firms from small one-man bands to larger companies with multiple advisers. Monitored business activity and approved advertising, social media and literature.

Applicant Qualifications

CeFA. CeMAP. ACSI

Contact

Anthony Brooks
Tel: 0113 244 0846 Mon to Fri 8.30am - 5.30pm.
Email: abrooks@iauk.co.uk
IAUK

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