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Compliance Analyst
Job type: Permanent

45000- 55000 plus Banking Benefits
Reporting to the General Manager, Legal & Compliance, responsibilities will include: Undertake monthly communications monitoring. Undertake other compliance monitoring, under guidance from the Compliance Officer. Prepare reports in respect of all monitoring for review by/discussion with the Compliance Officer, in accordance with Company guidelines. Assist the Compliance Officer with monitoring of outsourcing to third parties. Assist in arranging relevant compliance training for all staff. Assist the Compliance Officer in ensuring that the firm can respond in a timely basis to requests for information from the FCA. Assist the Compliance Officer in ensuring that all individuals performing a controlled function receive regulatory approval before commencing duties. Assist the Compliance Officer in 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. Requirements: 2-3 years’ experience in a Compliance role Robust experience in Compliance Monitoring Knowledge of FCA Rules and Regulations Experience gained in an Investment firm e.g. Securities, Investment Banking Japanese language skills a strong plus For more information please send CV in to Barbara Houghton at quoting job reference 16764BH.
Ref: BH16764 Location: City

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