Central Compliance and Control Room
24-11-2021 05:56 PM
- Act as a point of contact for Central Compliance & Control Room issues.
- Ensure the processing, preparation and submission of all daily control room reports as required. These include but are not limited to Daily Restricted List, Credit Research List, PA Dealing Stop & Watch List, Short Selling Reports, POTAM Reports, Watch List/Restricted List Monitoring.
- Assist in the execution of the Central Compliance and Control Room core duties, including but not limited to, the management of insider and deal lists, Personal Account Dealing requests and monitoring, new SMF Applications and FCA Directory uploads (including liaison with the FCA as required); Gifts and Entertainment.
- Participating in the wider compliance function by assisting with Audits, projects and other initiatives.
- Assisting in various branch reporting requirements and liaison – monthly Report, Financial Crime Report, US Disclaimer Report.
- To contribute to the on-going review and revision of policies and procedures as required.
- Assist in the process of periodic attestations in support of the policies and procedures.
- Assist in the production of management information, including material for the various committees in the governance structure and Board reports.
- The role holder may be expected to control and/or process large amounts of personal data, which may include sensitive categories of personal data. The role holder is responsible for having an awareness of GDPR obligations and ensuring that all tasks which control and/or process personal data are carried out in line with internal data protection policies and standards.