Junior Compliance Analyst - London SW1

Carlton Recruitment
Victoria, UK
21 Sep 2019
28 Sep 2019
Contract Type
Full Time
Make sure you hit "APPLY" if you feel you are suitable for this role!

Carlton Recruitment is holding a Candidate registration day in Wimbledon on Wednesday 25th September 2019.

We will be recruiting for this role and a variety of exciting temporary and permanent positions.

If you're currently looking for your next opportunity then pop in with your CV and passport and introduce yourself. We'll talk you through our latest vacancies and get to know what you're after in your career!

Wednesday 25th September 2019 between 9:00am - 5:00pm The Wimbledon Business Centre, The Old Town Hall, 4 Queens Road, Wimbledon, SW19 8YB.

  • Your passport, if you do not have a passport please bring your full birth certificate
  • National Insurance card/Letter
  • Drivers and forklift operators must have their valid license so we can make copies.

Please phone our Wimbledon office if you need to visit outside of hours. We look forward to seeing you.

Junior Compliance Analyst

London SW1

£30- £35,000

Dependent on experience

Super opportunity!!! to assist the Senior Compliance Analyst in carrying out daily/monthly auditing and monitoring procedures on trading desk activities and ensuring all trading operations are in full compliance with the policies in place.

Main responsibilities

Assist with the auditing and monitoring on all trading desk activities.

Produce regular management information reports for status updates on the audit/monitoring findings from the trading desk activities.

Perform thorough investigations into any identified breach of compliance.

Build relationships with the traders and to gain an understanding of their trading cases.

To continually look to improve the existing processes and procedures; including KPI reporting, Compliance Analysis and Risk Analysis.

Review the suppliers' General Terms and Conditions input in our trading platform.

Required knowledge / experience
  • Strong attention to detail
  • Great communication and interpersonal skills
  • Ability to keep self-motivated with repetitive tasks.
  • Strong organisational skills with the ability to multi-task.
  • Desire to work as part of a team.

  • Basic legal knowledge of compliance.
  • Ability to read and understand GTCs, contracts, etc.
  • Previous experience in an auditing role
  • Must be proficient in MS Office Suite, especially Excel.

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