Compliance Analyst- EXCLUSIVE

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 Eshelby