PA Dealing Compliance - VP

PA Dealing Compliance - Global Financial Services Firm - up to £75,000

PA Dealing Compliance - Global Financial Services Firm - up to £75,000


My client a globally operating financial services firm is looking for someone to look after Personal Accounts Compliance across EMEA.

The Role:

An autonomously driven function in which you will be the lead for all of compliance related topics inline with personal accounts. Partnering with the US you will look to instil a healthy compliance culture across the firm as they continue to grow.

Further Requirements Include:

  • Deliver tech solutions to provide monitoring activity around personal trading
  • Interpret data surrounding personal trade data for suspicious activity to identify conflicts of interest and other risks. Those aligning to that, that may not be picked up by the system
  • Communicate effectively with employees on all necessary findings. Escalating to HR and other internal channels.
  • Play a continuous role in the development of policies and procedures in the business.
  • Develop strong internal relationships to ensure deliverance of policies and procedures is met in the best possible way

This is an exciting role with large amounts of autonomy. You will cut across many different areas of the business playing an active role in the overall compliance culture of the firm.

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