Compliance Analyst - Top Brokerage - London

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Real Staffing
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flag_no United Kingdom
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Compliance Analyst - Brokerage - London

A highly successful Brokerage inLondonis seeking a Compliance Analyst to take the lead on selected project work for theUKandEurope. Reporting into the Deputy Head of Compliance, you will be assisting with the planning, execution and reporting of Compliance monitoring reviews for business and support functions inLondon, as part of the Compliance Monitoring Plan.

  • Provide advice/guidance to the business on key areas of Compliance
    • Undertake and manage delegated routine and risk-based monitoring reviews
    • Work with the business units to develop a good understanding of their strategy, services and products
    • Assistance with preparations for regulatory visits
      • Carry out thematic reviews of Compliance topics across the business
      • Manage and contribute to Group and general compliance issues as delegated, this may be project work dependent on thematic regulatory topics, business projects or BAU
      • Ensuring registrations/deregistration's are completed for approved persons
      • Assist with Compliance projects in our various Branch offices
      • Ensuring that the business in general is operating within the relevant regulations
        • Keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm
        • Review audit and regulatory findings, identifying key issues for risk rating purposes
        • Approval of financial promotions and client communications
        • Assist with complaints handling process, in particular escalated complaints
        • Contribute to on-going work to ensure that the principles of TCF are being met
          • Working with compliance colleagues and business management to agree appropriate action plans
          • Reporting review results to line of business and senior management
          • Maintain a breaches log
          • Administration of the Compliance employee training suite - Online Learning Centre
          • Delivery of face to face group and one-to-one training

  • Knowledge and understanding of FSA rules and other legislation (i.e. COBS and SYSC)
  • Analytical and enquiring nature, ability to solve problems
  • Previous experience in compliance monitoring or a generalist compliance role preferred

Salary - £65,000 + competitive package

Location -London

This is a great opportunity you to progress your career within a highly successful brokerage. If you are interested in applying please send your CV highlighting your relevant experience to Ryan Graham at

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