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The function is subject to the compliance rules established and regulated by the AMF (Autorité de Marchés Financiers). You are required to familiarize yourself with and comply with the rules of compliance on the financial markets as well as to complete any training required in order to comply with the legal compliance requirements as required by AMF and Stifel.
The role is subject to the Conduct Rules set by the FCA. You are required to familiarise yourself, and comply, with the Conduct Rules and complete any ongoing training and competence requirements as set by the FCA and SNEL
Primarily responsible for receiving, tracking, reviewing, and responding to sales practice and operational customer complaints received by the firm, as well as FINRA regulatory reporting related to customer complaints. Works closely with members of the legal department and internal business counterparts, including compliance and branch personnel. Prepares written responses to customers and to regulatory requests, and maintains a filing and tracking system for customer complaints.
