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Compliance Analyst , Compliance Monitoring , Financial Services

Recruiter
Confidential
Location
London
Salary
35-40k
Closing date
28 May 2021

View more

Employer Sector
Accountancy Practice
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance, Compliance & Regulation
The Company:

An international banking group and Securities business providing investment, banking & asset management services.

The Role:

The Compliance Analyst will work with the Head of Compliance and the Compliance Monitoring team to deliver an effective Compliance function consisting of performing compliance monitoring, general duties, and the provision of Compliance advice, guidance and training.

The Compliance Analyst will develop and implement a risk-based Compliance Monitoring Programme for the Securities business, and perform periodic compliance monitoring, thematic reviews and transaction surveillance.

This role will play a key role working with the Compliance Monitoring team to identify Compliance risks and to assist with the design and implementation of effective controls for the Securities firm.

The Compliance Analyst will collate and produce Compliance management information to identify areas of improvements in the control framework for the Securities business, and will assist with the development and implementation of each Compliance Framework (i.e. best execution, market abuse, CASS, conflicts of interest, inducements, post-trade transparency, financial promotions, client communication, regulatory reporting and regulatory capital).

The Compliance Analyst will represent Compliance in other committees and working groups within the Securities business as and when required and will be an attending member of the Quarterly Best Execution and CASS committees.

Work with the Compliance Monitoring team to draft Board reports for senior management and the Securities company.

The Compliance Analyst will assist in the training of staff to ensure Compliance competence in relation to the firm's applicable regulatory system.

The Candidate

1-2 years' experience within a Compliance Monitoring role within a Financial Services firm - ideally Securities, Banking , Investments

Proven prior experience working within a Compliance Department.

Knowledge of CASS - highly beneficial

Excellent analytical skills with a questioning mind.

Educated to degree level or equivalent experience.

Competent user of Microsoft Office suite.

Relevant compliance qualifications (desirable but not essential).

Strong communication and interpersonal skills

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