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