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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
