Compliance Analyst

Secure Recruitment LTD
London (Greater)
12 Mar 2018
15 Mar 2018
Contract Type
Full Time


£50-60,000 Salary + Staff Benefits

Secure are representing a global financial services organisation who are seeking an ambitious Compliance Analyst to join a dynamic, vibrant and growing team. Our client is seeking an individual who has the appetite to drive key regulatory changes and is capable of supporting this reputable business with the energy and commitment it deserves.

Key Responsibilities:

  • Deal with both FCA and SEC regulatory matters to ensure the firm operates within its risk appetite; investigating, escalating and reporting issues
  • Conduct daily Compliance Monitoring Plan (CMP) reviews of UCITS, MiFID II and AIFMD limitations
  • Review of UCITS marketing materials
  • Oversight of Gifts and Hospitality records
  • Ownership of compliance manual, policies and procedures
  • Advising the business on transactional matters, and management of system generated trade overrides
  • Assistance with regulatory filings such as Annex IV, Form PF
  • Involvement for regulation implementation such as MiFID II, GDPR, SMCR

Desired Skills/Experience:

  • Ideally Degree educated
  • Experience working in a buyside firm
  • Strong product knowledge: rates, credit, bonds, commodities
  • Proficient on MS Excel
  • Marketing experience
  • Adaptable, ‘can do’ attitude, committed and confident
  • GDPR knowledge and experience is a plus

Secure Recruitment is a highly respected, niche, Corporate Governance and Cyber Security search business, specialising in handling interim and permanent appointments, both on a contingent and retained basis, up to C-suite level. We provide informed confidential advice, salary guidance, career support, up to date market intelligence and the most comprehensive Corporate Governance and Cyber Security opportunities in the marketplace. We take pride in being flexible to individual needs and work across a range of industry sectors within the geographical locations of UK, Ireland and Continental Europe.

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