We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT.
THIS ROLE IS NOT AN AML/ KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED.
THE RESPONSIBILITIES:
Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business.
Assisting in compliance oversight of all activities outsourced to other entities.
Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of appropriate management Information, and regulatory updates relevant to the Company.
Execution of a risk-based compliance monitoring programme in line with regulatory guidelines and in conjunction with business and compliance departments.
Monitoring the complaints handling and vulnerability processes and reviewing and reporting on root cause analysis
Compliance oversight of financial promotions issued by the firm.
Investigation of suspicious transactions and orders (market surveillance).
Assisting in the administration of the Senior Managers and Certification Function Regime.
Assisting in the documentation of internal controls, policies, and procedures.
Seeking continuous improvement to streamline compliance processes and achieving industry best practice in all related activities (utilising technology solutions where appropriate).
Ensuring that the Firm maintains accurate, detailed, and up to date records across all areas of the Firm’s business.
EXPERIENCE REQUIRED:
2+ years’ experience in a regulatory compliance-based role – NOT AML/ KYC.
Good exposure and experience with retail investment products, crypto asset experience is highly advantageous.
Sponsorship is not offered for this position.
For further information please contact Jordan White
