Compliance Monitoring Analyst

Permanent @Charlie Watson in Compliance
  • City of London View on Map
  • Post Date : October 3, 2023
  • Apply Before : April 3, 2024
  • Salary: £55,000.00 - £65,000.00 / Annual
  • 5 Application(s)
  • View(s) 118
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Job Detail

  • Job ID 39381

Job Description

Compliance Monitoring Analyst

City of London


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 / 0207 626 6065.

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