Compliance Analyst - Compliance Monitoring - Capital Markets

To support the Head of Compliance & MLRO as part of the team to cover all aspects of the Compliance Monitoring Program, and other regulatory issues that impact the firm.

Client Details

International Capital Markets firm.

Description

Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counterparties.

Undertake activities of the Compliance Monitoring Programme - not limited to transaction monitoring, personal account dealing, gifts log,

Conducting communications monitoring (voice and electronic), ensuring compliance with the Firm's policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management.

Support of Companies House filings

Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner.

Support the Senior Compliance Officer with the preparation of management information.

Preparation of SMF and Certified applications, & records kept regarding those individuals.

Profile

At least three years' experience in general compliance, including compliance monitoring, regulatory reporting, KYC, and SMCR.

Experience within an international banking environment/broker, or similar.

Job Offer

• Competitive salary ranging from 45000 to 50000 GBP.
• 12-month Fixed Term Contract.
• Opportunities to work within a reputable organisation in the financial services industry.
• Potential for extension after initial term of contract.