Compliance Analyst - 12 month FTC - Brokerage
This is an exciting opportunity for a Compliance Analyst to join a leading organisation in the financial services industry on a 12-month fixed-term contract. The role is based in London and involves supporting the Risk and Compliance department in ensuring regulatory adherence and mitigating compliance risks.Client DetailsBroker / Dealer - International Capital MarketsDescriptionSupporting the Compliance Monitoring Programme (CMP), including thematic reviews and control testingProviding advisory support to the business on FCA rules and internal policiesAssisting with financial crime matters, including AML / KYC queries and escalationsMonitoring employee conduct controls (e.g. PA dealing, conflicts of interest, gifts and hospitality)Maintaining compliance logs, registers, and recordsSupporting regulatory reporting and filingsAssisting with policy and procedure updates in line with regulatory developmentsProfile2-5 years'' experience in a Compliance role within an FCA-regulated firmExperience in a Broker/Dealer, investment firm, or trading environment preferredStrong understanding of: FCA regulations (e.g. SYSC, COBS)General compliance frameworks and controls Job OfferCompetitive salary of 50,000 per annum.12-month fixed-term contract with potential for future opportunities.Opportunity to work in the financial services industry in London. ..... full job details .....
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