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Compliance Analyst

  • Location: South London
  • Salary: £42,000
  • Job type: Permanent
  • Job reference: NE171062
  • Sector: Banking
Job Description

Brokerage

South London

up to £42,000

My client is a brokerage in south London.

They are looking for a junior compliance officer to perform generalist compliance duties and compliance monitoring.

You will be expected to...

  • Performing 2 LOD compliance monitoring activities – monthly, quarterly and annual CMP against FCA rule book requirements
  • Performing “deep dive” reviews, under the oversight of the Head of Compliance, of areas requiring improvement as identified by CMP breaches/weaknesses
  • Work across the Compliance on developments/improvements required for overall compliance
  • Developing and maintaining a detailed compliance monitoring manual, including for regulatory updates
  • Review MiFR/MAR/EMIR and other jurisdictional requirements for potential new/emerging requirements in particular for changes to/new RTS
  • Assess recommendations arising from industry association groups e.g. potential change to capital requirements and escalate as necessary
  • Participate in regulatory compliance change programmes as required.
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