Compliance Monitoring Analyst

  • £350-400 per day
  • London, England, United Kingdom
  • Contract, Full time
  • Twenty84
  • 07 Oct 18

6 month contract in compliance monitoring working for a fantastic company and great team in the City? Prefer working in smaller teams and more diverse roles? Want to work for a market maker that also operates in the investment management space?

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