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Front Office Compliance Monitoring Analyst

Date: 21 Aug 2019
Type: Permanent
Location: London
Salary: £ per annum
Email: duncan@taylorjamesresourcing.com
Ref: db4387597

We are looking for a Compliance Analyst with experience of Front office Compliance experience.

You will have key responsibilities around the monitoring market abuse and all forms of dealing including best execution.

Experience of working with Transactional Cost Analysis providers - Like Bloomberg is essentia

Undertaking other aspects of Monitoring as required by the Compliance Monitoring Plan

Where required, assist senior management and staff to implement controls and procedures to ensure compliance with all relevant regulations, laws and codes

  • Undertake compliance monitoring as required but specifically front office monitoring for all asset classes
  • Work with TCA providers
  • Assist with publication of RTS28 reports
  • Provision of written compliance monitoring reports outlining findings
  • Ensure management are made aware of all material/significant issues arising from findings of monitoring undertaken.
  • Ensure that the programme remains appropriate
  • Ensure compliance monitoring procedures are maintained for regulatory updates, changes to business practices and annual reviews
  • Resolving business compliance related matters and make recommendations to help provide a solution
  • Review of financial promotions
  • Assist with training requirements for the business
  • Responsible for managing DDQ’s, client questionnaires and RFP’s
  • Attendance at internal and external committees/forums/seminars and sharing the output with the compliance team
  • Perform compliance tasks as directed by the HoCM and the Head of Compliance (Europe)

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