FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Compliance Monitoring Analyst

I am assisting a Multi-Asset investment firm based in the West end. They a well-established and continuously growing company. We are looking for FRENCH speakers to fulfill duties of a Compliance Monitoring Analyst. Please review the spec below. Thank you

JOB TEXT

Compliance Monitoring Analyst

My client, a specialist broking service, is seeking a Compliance Monitoring Analyst to join the team.

This role is designed to advise the Head of Compliance in regards to the monitoring of trading activity for the Firm and through the escalation of potential issues identified so that Senior Management and the Board can be appropriately advised to ensure the Firms' ability to operate in an organised, controlled, ethical and profitable manner, in accordance with the requirements within the ever changing regulatory and financial industry environment.

Key Responsibilities:
* Responsible principally for implementing second line of defence of trade surveillance and monitoring which includes:
* best execution (including timely execution)
* payment for order flow
* market abuse prevention
* OTF
* Communication monitoring - phone, email and chats.
* Investigate, communicate and escalate issues arising from trade surveillance and communication monitoring.
* Maintain a database of remedial actions/recommendations arising from trade surveillance and communication monitoring.
* Contributing to the preparation of management information on monthly, annually and ad hoc basis.
* Assisting with the development and improvement of analytical tools used to monitor for, and investigate, potential market abuse.
* Conduct file reviews and thematic compliance projects.

Experience and Qualifications:
* Have experience gained within a trade monitoring & communication surveillance role, with a good awareness of Market Abuse Regulations, FCA rules and general compliance oversight functions.
* Must have very strong excel skills (pivot tables, macros, VLOOKUPs).

Key Skills:
* Excellent attention to detail.

A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
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  • GBP28000.00 - GBP35000.00 per annum
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 2019-04-16