Description
Compliance Analyst - Cardiff - £150 - £250 Per Day - 6 months
Ensure the timely pre approval and reconciliation of employees personal trades
Investigating trading activity which may be a breach of the PAD Policy and escalating to the Central Compliance team where applicable
Collation of quarterly and annual employee transaction reports
Inquiry management for any employee questions around organisational policy
Collation of Operational Metrics/Key Performance Indicators
Maintenance and update of the firms regulatory engagement register
Coordinating the Compliance on boarding of new joiners
If you match these requirements, please apply in the normal way. Elevate will send you an email, please open, click and action that email and your application will be visible to the hiring organisation directly.