Compliance Analyst / 12931
My client are a well regarded Inter Dealer Broker with a global reach. They trade a broad range of Financial Instruments including Cash Equities, Futures & Options, ETF's, FX, Bonds and Commodities.
Based in a small team, you will help ensure that the Compliance Department operates in an organised way, including:
Assist in the day to day operational aspects of the Compliance functions
Attend to staff regulatory registrations
Assist Head of Compliance in production of appropriate MI
Assist in conducting and responding to investigations / reviews, as and when required.
Assist in establishing and maintaining training and awareness programme for fitness and propriety, assessing competency and compliance culture.
Conducting Compliance induction training for all staff
Disseminate new and updated compliance policies and procedures
Maintenance of all relevant compliance registers and compliance records in particular PA Dealing, Conflicts of Interest, annual attestation and training records
Assist with internal and external audit program
Perform and manage other assignments, from time to time as requested by Head of Compliance.
Minimum 1 yrs experience in a similar organisation