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Compliance Monitoring Analyst - Brokerage

  • Location East London
  • Job-type Permanent
  • Reference LUterCMA

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