Marta Graczyk Email & Phone Number

Poznań, Woj. Wielkopolskie, Polska

Poznan, Greater Poland District, Poland

Poznan, Greater Poland District, Poland

London

Developing and updating Compliance policies, procedures, manuals and programs on an on-going basis as directed,Monitoring and maintaining Compliance Framework and Program (for e.g. monthly compliance reports, managing and reporting potential or material breaches, monitoring and reporting on the Compliance Risk Management and Monitoring Framework);Conducting reviews in accordance with the Compliance Review Schedule (for e.g. Risk Self-Assessment Questionnaires, Employee Acknowledgement of Obligations, relevant registers and databases);Fostering internal relationships and responding to any queries or requests as directed;Various/ad hoc Compliance projects; Assist in preparation & delivery of staff trainingMaintain up-to-date knowledge and understanding of regulatory requirements and developments as well as industry practices that affect the local businesses of TD Bank, TD Bank Europe and TD SecuritiesOn-going support of Compliance Management

London, United Kingdom

General administrative support to the AXA Framlington compliance team (pending physical co-location with AXA IM)Record keeping, including archiving, using and streamlining electronic filing mechanisms wherever possibleTravel arrangements and expenses claims as appropriateTimely submission of regulatory returnsMaintenance of non-technical areas of Compliance Intranet site advising the business of changes where appropriateReview joiners and leavers lists arranging induction meeting for Approved Persons and logging Applications/Withdrawals with FSA as appropriateMaintenance of training records for individuals subject to FSA Training & Competence RulesPreparation and circulation of papers for boards and committeesMaintenance of logs of control reviews and incoming and outgoing management informationMaintenance of personal account dealing recordsMaintenance of gifts and hospitality recordsProduction of monthly packs summarising department activity for Head of Compliance

London, United Kingdom