Compliance Director
ISIS Capital Management Ltd
London, South East England
£32,000 per annum
Financial Services - Compliance
Permanent
17 Nov
4
18426514
Compliance Director
ISIS Capital Management Ltd
Salary £32,000 per annum
An exciting opportunity to join and grow with a small FSA registered firm based in London E1, with wide permissions for providing financial services.
ISIS was recently purchased by two principals and has been restructured with a view to restart trading in the New Year. The firm requires a full time Compliance Director. The Compliance Director will be responsible to the Board for ensuring the firm is compliant with all regulations laid down by ISIS’s regulatory body, the FSA, and all other appropriate regulatory authorities; for setting up and maintaining ISIS’s financial reporting system and establishing and maintaining an internal audit system; and for recruiting and training staff as ISIS expands its activities.
The successful candidate will be a graduate with a relevant degree and should have at least 3 years relevant experience in compliance gained in a financial organisation. In particular he/she shall have extensive knowledge of anti-money laundering legislation and regulations, knowledge of the FSA’s Gabriel reporting system and TCF requirements, a sound understanding of the application of risk assessment and monitoring tools and of how to identify key regulatory risks in the area of financial promotion.
Closing date for applications ; 14 days from the date of this application.
Applications in writing to Mr A. Baron, ISIS Capital Management Ltd, 63 Mansell Street London E1 8AN.
