My client are is leading Payments Platform and due to their continued growth globally they are currently looking to recruit a Senior Compliance Analyst to join their team in London.
- Using regulatory knowledge and judgment to provide appropriate resolution to trading issues
- Developing and enhancing procedures for the business to ensure compliance with regulatory or market developments.
- Management of the individual registration process for the EMEA region. Maintain up to date records and information on the firm’s licensed individuals
- Ensuring appropriate policies and procedures are followed to comply with local conduct of business rules
- Assist with the analysis of changes, and their impact on the firm’s advertising and distributing activities.
- Providing advice on policy with regards to gifts and entertainment, conflicts of interest, PA Dealing
- Undertake ad-hoc regulatory projects, surveillance or thematic reviews.
The ideal candidate will have:
- Sound knowledge of FCA regulatory framework within an Asset, Fund or Investment Management environment
- Excellent interpersonal and influencing skills.
- Able to work under pressure and produce results without close supervision.
- Good verbal and written presentational skills
- Attention to detail
- A team-worker who must be able to build working relationships and interact with a diverse group of internal and external contacts
If you feel this is a role you would excel in then please don’t hesitate in getting your profile through to me.
For more information please apply or call Felix Symonds 0203 587 7007