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Compliance Monitoring Analyst - Brokerage
- Posted 09 November 2020
- Salary Negotiable
- Location
- Job type Permanent
- ReferenceLUterCMA_1604937362
- Contact NameLatiesha Uter
Job description
A brokerage firm are looking to hire a Compliance Monitoring Analysts into their growing compliance team.
Key responsibilities:
- Undertaking all aspects of surveillance monitoring; communication monitoring, trade surveillance, AML, PA dealing and completing ad hoc reviews from the Compliance Monitoring Plan
- Responding to exchange/regulatory enquiries
- Creating management information on monitoring activities undertaken, highlighting areas that require further investigation and review
- Assisting in maintenance of the Compliance Department's policies and procedures
- Assisting with investigating and resolving ad hoc queries from business areas and exchanges
Successful candidates will have:
- Previous compliance monitoring experience within a a regulated firm
- Strong communication skills, written and verbal