Compliance Analyst

THE COMPANY:

Our client is an international financial services firm engaging in wholesale banking activities.

THE RESPONSIBILITIES:

• Undertake monthly communications monitoring.
• Undertake other compliance monitoring in accordance with the firm's CMP, 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 in ensuring that the Business can respond in a timely basis to requests for information from the FCA.
• Assist 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.
• Ad-hoc projects as requested by the Compliance Officer or the CEO.

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