Compliance Monitoring Analyst

Expiring today

Recruiter
Twenty84
Location
London, England, United Kingdom
Salary
£350-400 per day
Posted
07 Oct 2018
Closes
18 Oct 2018
Ref
4640185
Sector
Legal
Contract type
Contract
Hours
Full time

This is role could be for you:

  • Assist with the management and delivery of all aspects of compliance monitoring
  • Determine the scope and testing approach for reviews
  • Conduct thorough reviews to ensure compliance with regulations and internal standards
  • Provide written reports for management to include details of findings and recommended actions
  • Ownership of the online training system and assigning all training to employees
  • Review and update of training courses as necessary
  • Supervising a team member

Requirements

  • Compliance monitoring / assurance / testing experience preferably from investment management, market maker, wholesale, brokers, FX, or securities firms
  • Knowledge of control room / PA dealing activities preferred
  • Sound knowledge of COBS and MiFID 2 also preferred
  • Good report writing experience
  • Management or supervisory experience

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