Senior Compliance Analyst : Control Room/Central

LMA Recruitment Ltd
London (Greater)
10 Feb 2018
15 Feb 2018
Contract Type
Full Time
This highly renowned investment bank is offering a new position for a compliance professional with a minimum of two years experience

Responsibilities will include:

- Processing, preparation and submission of all daily control room reports as required
- Administer Central Compliance core requirements including Personal
Account Dealing requests and monitoring, , Approved Persons
Administration; Gifts and Entertainment
- Taking part in the wider compliance function by assisting with training,
providing management with written reports and other ad-hoc projects
- Formalising and documenting the framework of Compliance Procedures
- Regulatory reporting including short selling,
- Assisting in various branch reporting - monthly Report, Financial
Crime Report, US Disclaimer Report.
- Keeping up to date and informing the firm of regulatory change
- Review and revision of policies and procedures
- Production of management information, including Board reports
- Carrying out compliance tasks including FCA registrations and reporting
- Assisting in Compliance monitoring and production of Compliance
monitoring reports.

Candidates should have recent experience in these areas
This job was originally posted as

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