Compliance Monitoring Analyst - Brokerage

Posted 21 March 2021
Salary Negotiable
LocationLondon
Job type Permanent
ReferenceLUterCMA_1616329142
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