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Compliance Advisory Analyst - Brokerage / FinTech

  • Location London
  • Job type Permanent
  • Reference LUTAdvisory

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).