Compliance Analyst - Financial Markets
We’re presently recruiting a Compliance Analyst at a diverse financial markets firm
The role will be a mixture of monitoring and advisory offering the successful candidate the chance to gain a broad experience of financial markets , products , business models and jurisdictions
- Monitor the firm’s regulatory compliance
- Maintain the Compliance Manual, policies and procedures and compliance registers.
- Prepare compliance reports for various management committees and attend meetings as required to address compliance issues.
- Advise the business on compliance matters and to highlight and/or escalate any areas of concern.
- Monitor changes in regulations and how these may affect the Firm.
- Ensure that compliance and regulatory risks within the business are identified, assessed and managed.
- Review marketing documentations, newsletters and advertising.
- Ensure appropriate Compliance training is provided to the Business.
- Monitor Firm’s internal systems and control to ensure it meets its regulatory obligations.
- Conduct on-boarding due diligence for clients and counterparties.
- It will be essential to have at least 3 years of financial services compliance experience.
- Good working knowledge of the UK regulatory framework.
- Preferably to have a professional compliance qualification, or working towards one.
- Educated to degree standard, with legal knowledge a plus.