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Compliance Analyst - Brokerage - London

Job Title: Compliance Analyst - Brokerage - London
Contract Type: Permanent
Location: London, England
Industry:
Salary: £30000.00 - £50000.00 per annum
Reference: BBBH17799_1520593956
Contact Name: Emily Drake
Contact Email: emily.drake@twentyrecruitment.com
Job Published: March 09, 2018 11:12

Job Description

Our client, a wholesale brokerage based in The City, is looking for a generalist compliance analyst to join their team.

The job:

  • Improving policies and procedures ensuring they are compliant with changing regulations and legislation
  • Managing the compliance monitoring programme including PA Dealing reviews, market abuse and trade monitoring
  • Completing and overseeing ongoing and new joiner compliance training
  • Keeping up-to-date with clients and doing continuous monitoring on these accounts, including AML and KYC reviews
  • Maintaining required registers i.e. Breaches Register, Dealing Errors Register, Conflicts Register

You:

  • 2+ years' experience in a compliance function, ideally experience working at a broker
  • Excellent FCA and regulation knowledge, particularly COBS and MiFID II
  • Pro-active and able to identify issues quickly
  • Good communication and organisational skills

If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Drake at Twenty Recruitment

Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Financial Crime Compliance, Regulatory Compliance & Operational Risk mandates, both permanent and temporary, across Financial Services, Technology and Energy.