Show job search
?
Search for an exact word or phrase
"search query"
Use quotes to search for an exact word or set of words.
Search for either word
query OR query
If you want to search for jobs that may have just one of several words, include OR (capitalized) between the words. Without the OR, your results would typically show only jobs that match both terms.
Exclude a word
NOT query
Add a NOT before a word to exclude all results that include that word. 
Include a "fill in the blank"
query * query
Use an asterisk (*) within a query as a placeholder for any unknown or "wildcard" terms.
 
Sector
Use Ctrl (Command on Mac) to Select Multiple
 
Location
Use Ctrl (Command on Mac) to Select Multiple
 
Job type
Use Ctrl (Command on Mac) to Select Multiple
Clear Search

Compliance Analyst - Financial Markets

130785
60k (To be Pro-Rated for initial 3 month contract)
Full Time
Greater London
London
06-10-2020 04:56 PM

 

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

 

Key Responsibilities 

  • 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.

Experience 

  • 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.

Fergus Hooley

DIRECTOR - COMPLIANCE

07425 325267