This is an exciting opportunity for a Compliance Analyst to join a leading organisation in the financial services industry on a 12-month fixed-term contract. The role is based in London and involves supporting the Risk & Compliance department in ensuring regulatory adherence and mitigating compliance risks.
Client Details
Broker / Dealer - International Capital Markets
Description
Supporting the Compliance Monitoring Programme (CMP), including thematic reviews and control testing
Providing advisory support to the business on FCA rules and internal policies
Assisting with financial crime matters, including AML / KYC queries and escalations
Monitoring employee conduct controls (e.g. PA dealing, conflicts of interest, gifts & hospitality)
Maintaining compliance logs, registers, and records
Supporting regulatory reporting and filings
Assisting with policy and procedure updates in line with regulatory developmentsProfile
2-5 years' experience in a Compliance role within an FCA-regulated firm
Experience in a Broker/Dealer, investment firm, or trading environment preferred
Strong understanding of:
FCA regulations (e.g. SYSC, COBS)
General compliance frameworks and controls
Job Offer
Competitive salary of £50,000 per annum.
12-month fixed-term contract with potential for future opportunities.
Opportunity to work in the financial services industry in London