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Compliance Analyst - Control Room

CLARC Recruitment
Closing date
7 Jul 2022

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Contract Type
Full Time
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A leading Investment Bank is looking to hire a Compliance Analyst to join their Control Room & Surveillance team. Great opportunity for someone with 12 months experience looking to work within a fast-paced environment.

Main Responsibilities:
  • Conducting monitoring tasks as detailed within the Compliance Monitoring Programme
  • Conducting tasks such as Call Monitoring with minimum oversight and raising good quality escalations.
  • Submitting regulatory disclosures to the Takeover Panel and the FCA as required
  • Handling queries from external stakeholders including the Takeover Panel and the LSE
  • Conducting daily tasks such as maintaining the Compliance Watch List
  • Reviewing and approving PA Dealing requests from employees.

Job Requirements:
  • At least 12 months experience within a similar Control Room or Surveillance role within an Investment Bank or Brokerage firm.
  • Experience of carrying out trade & call monitoring.
  • Experience of Fidessa and/or Bloomberg preferred.
  • Excellent interpersonal skills.
  • Good communicator, comfortable dealing with all levels of staff.

The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us.
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