Compliance Advisory Analyst - Brokerage / FinTech

Key responsibilities:

• Advisory to the front office
• Writing policies and procedures
• Horizon scanning
• Complaint handling
• Best Execution & Fair value pricing.
• Gifts & Entertainment & PAD approval processing
• Supporting local compliance offices and senior management from a group perspective.
• Collating MI and presenting findings to board level.

Successful candidates will have:

• Excellent communication skills and the ability to work to tight deadlines
• Knowledge of the FCA handbook and current regulatory changes (MiFID & Brexit).