Compliance Analyst- EXCLUSIVE

Job title: Compliance Analyst- EXCLUSIVE

Company: Compliance Professionals


Job description: THE COMPANY:Our client is an international financial services firm engaging in wholesale banking activities.THE RESPONSIBILITIES:

• Undertake compliance monitoring in accordance with the firm’s CMP
• Prepare reports in respect of all monitoring for review in accordance with Company guidelines.
• Assist the Compliance Officer with monitoring of outsourcing
• Assist in arranging relevant compliance training for all staff.
• Ensuring the business can respond in a timely basis to requests for information from the FCA.
• Ensuring that all individuals performing a controlled function receive regulatory approval before commencing duties.
• Ensuring the annual Certification of staff is completed in a timely manner.
• Ensure all compliance registers and relevant records are maintained and kept up-to-date.
• Ad-hoc projects as requested

EXPERIENCE REQUIRED:

• Good knowledge of the FCA Rules
• Compliance monitoring experience
• Ideally from a wholesale banking or securities environment
• A flexible approach and strong communication skills

For further information please contact Natalie EshelbyAbout this roleLocation:LondonSpecialism:Salary:£ Competitive salaryType:Reference:19177

Expected salary:

Location: London

Job date: Sat, 08 Mar 2025 02:23:59 GMT

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