Compliance Analyst /Control Room

THE COMPANY:

Our client is an international investment company, delivering expert services including capital markets, debt advisory, and growth capital.

THE RESPONSIBILITIES:

• To assist with new client take-on requests, including background screening, due diligence checks and coordinating documentation.
• Assist with the AML and due diligence checks for corporate and institutional clients. This requires close liaison with the Corporate Finance teams, Institutional Sales teams and Operational areas.
• To maintain the Insider Log, be accountable for maintaining the insider lists and preparing relevant MI.
• To assist with market sounding approvals and, where necessary, logging.
• To assist with running the Personal Account Dealing process and maintain the required records.
• To maintain the conflicts of interest register, declarations of interest process and the gifts and entertainment procedures.
• To help prepare regulatory due diligence files for new corporate clients and new directors of corporate clients
• To deal with day-to-day enquiries and team administration tasks.
• Any other duties as required from time to time

EXPERIENCE REQUIRED:

• Some regulatory compliance experience within the investment banking / broking sector
• Some experience of Control Room operation.
• Awareness of the UK regulatory framework.
• Awareness of associated statutory legislation including UK Money Laundering Regulations, Market Abuse Regulations, Bribery Act etc
• Excellent communication skills
• Accuracy and attention to detail

For further information please contact Natalie Eshelby