Compliance Analyst
Cantor Fitzgerald Securities
London, UK
Published 1 month ago
Compliance Management Systems / Technology
Job Description
Main purpose of the Role:
Core Activity
Main purpose of the Role:
- To conduct internal investigations when directed by Compliance management.
- To conduct investigations as required by external Regulatory bodies.
- To provide regulatory support and advice to the firms internal stakeholders.
- To assist the Advisory team with carrying out their day-to-day tasks
Core Activity
- Provide day-to-day advice to all the business areas in conjunction with and as directed by the Compliance Advisory team
- Conduct investigations (regulatory and internal) when required.
- Take on such roles and responsibilities as are required from time to time to contribute to the successful operation of the Compliance function within the group.
- Be alert to Conduct Risk issues, specifically the risk of harm to client interests, market integrity and/or competition in financial markets due to inappropriate practices or behaviours across the firm.
- Escalate any issues identified to the according to the escalation procedures.
- Provide input into assessing the effectiveness of the Risk Assessments.
- Support the Compliance Reviews Team Manager, Head of Compliance and the MLRO with investigations of suspicious behaviour.
- A good understanding of the FCA handbooks and the ability to apply the knowledge to a commercial environment.
- A good working knowledge of a wide range of financial product and services.
- Knowledge of financial products advantageous.
- Appropriate professional/industry qualifications.
- The ability to perform risk based analysis of MI and to identify risks and remediation actions.
- Knowledge of trading systems advantageous (e.g. Fidessa, Bloomberg, Reuters etc.)
- Excellent PC skills including Word, Excel and PowerPoint.
- Excellent communication skills including the ability to articulate information in a clear and precise manner in order to influence thinking and decision making at all levels of the organisation.
- Excellent report writing.
- Attention to detail and ability to spot anomalies.
- Good organisational and time management.
- Ability to work autonomously or as part of a team.