Compliance Analyst - MTF/Brokerage/Exchange - London - £300 pd

City of London
£250 - £350 per day
27 Sep 2013
25 Oct 2013
Richard Twumasi
Contract Type
Full Time

Compliance Analyst - London - £300 per day

Keywords: Compliance Analyst, Legal & Compliance, Conduct of Business, Dispute Resolution & Complaints, Systems & Controls, Market Conduct, COB, DISP, SYSC, MAR, FCA, Financial Conduct Authority, Brokerage, MTF, Exchange, Financial Services, Broker, Multilateral Trading Facility

An opportunity has arisen at a FCA regulated brokerage/exchange for a Compliance Analyst on a 3 month contract to join their Legal and Compliance Division.

In this role as a Compliance Analyst your duties will involve providing general compliance and regulatory support including:

  • Assist with the Compliance Monitoring programme
  • Regulatory developments and new regulatory requirements
  • Draft and update compliance policies and procedures
  • Investigate and respond to customer complaints
  • Maintenance of various compliance registers, records and databases
  • Assisting with introduce agreements
  • Also any knowledge of monitoring markets e.g. market abuse and insider dealing will be considered beneficial but not a necessity

The successful candidate will have:

  • Knowledge of circa 2-3 years compliance experience
  • Experience working for a financial exchange, MTF, brokerage/Investment Banking
  • Knowledge of FCA (Financial Conduct Authority) Rules e.g. COB, DISP, SYSC, MAR
  • Good Excel Skills

This is an excellent opportunity working for an innovative and dynamic financial services institution and would suit someone who has the relevant experience and is able to hit the ground running.

Send your CVs to be considered for this role a fast turnaround is expected.

Richard Twumasi

Harrington Starr

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