Compliance Analyst - 12 month FTC - Broker-Dealer
- Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counterparties.
- Undertake activities of the Compliance Monitoring Programme - not limited to transaction monitoring, personal account dealing, gifts log, Etc.
- Conducting communications monitoring (voice and electronic), ensuring compliance with the Firm's policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management.
- Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner.
- Support the Senior Compliance Officer with the preparation of management information.
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