Compliance Monitoring Analyst
Permanent @Charlie Watson posted 2 months ago in Compliance Shortlist Email JobJob Detail
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Job ID 39381
Job Description
Compliance Monitoring Analyst
City of London
Permanent
Up to £65,000 per annum
cer Financial are working alongside a financial institution company based in the City of London. They are seeking a Compliance Monitoring Analyst to work with them on a permanent basis.
They are looking for someone who is hard working, capable of prioritising tasks and managing their own workload and can demonstrate analytical competence.
The responsibilities of a Compliance Monitoring Analyst will include:
- Compliance monitoring in accordance with regulatory and internal standards
- Conducting reviews of trading including best execution in relation to portfolios.
- Reviewing trades on regulated funds for compliance with requirements.
- Regular checks on portfolios for compliance with suitability requirements.
- Reviewing PA dealing to ensure in accordance with requirements.
- Reviewing Financial Promotions to ensure clear, fair and not misleading.
- Undertaking reviews to ensure compliance with TCF/Consumer Duty requirements.
- Assisting with FCA returns.
- Monitoring compliance with Training and Competence requirements.
- Supporting and/or providing Compliance training to staff.
- Market Abuse Monitoring
- Compilation of various management reports
- General administration
- First line escalation point for compliance queries
- Projects and ad-hoc tasks as required by management
- Attend meetings and prepare minutes when required
- Prepare updates of compliance documentation
- Assist with responses to complaints
- Deal with responses to due diligence requests on the Company
- Such other tasks and projects as may reasonably be required
The successful Compliance Monitoring Analyst will include:
- Prior financial services experience, preferably in an investment or platform-based environment
- At least 5 years’ experience in compliance, ideally within areas Investment compliance and general compliance experience
- A good understanding of FCA rules and their application
- Knowledge of Market Abuse Regulation
- Knowledge of retail investments
If you are interested in this role, call us on or email Charlie Watson cwatson@cerfinancial.co.uk / 0207 626 6065.
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