Compliance Advisory Analyst - Brokerage / FinTech

Key responsibilities:

• Horizon scanning
• 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
• Complaint handling

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).
• Previous compliance advisory experience within a financial services firm