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Compliance Monitoring Specialist

Daily Rate Competitive
Type Temporary / Interim
Location London
Sector Operations
Job Reference T91/VHA/32307
Contact Vijay Hassani
Date posted 20-08-2019

Our client, a Brokerage firm, is looking to hire a Compliance Monitoring Analyst to join their London based team.
Key Responsibilities:
- To assist with routine compliance monitoring activities
- Assist with the delivery of regulatory training
- Assist with periodic desk-based and routine compliance reviews of Research, Corporate, Sales and Trading
- Undertake reviews across the firm in relation to Financial Crime, Market Abuse and conflicts of interest
Key Competencies:
- Previous compliance (such as carrying out compliance monitoring activities) and experience within an investment firm
- An understanding of corporate finance and corporate broking activities is desirable
- Strong communicative and interpersonal skills
- Knowledge of Fidessa, Bloomberg or STOR surveillance systems desirable but not essential

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Contact Vijay about this job

VP, Manager