As part of an established compliance team, you will play a crucial role in maintaining regulatory compliance and safeguarding the company’s reputation.
You will:
*Monitor and manage information barriers within the firm
*Ensure compliance with FCA regulations and internal policies
*Provide guidance on control room procedures to various departments
*Assist with market sounding approvals and logging.
*Assist with Personal Account Dealing process and maintain the required records.
*Maintain the conflicts of interest register, declarations of interest process and the gifts and entertainment procedures.
*To assist with new client take-on requests, including background screening, due diligence checks and coordinating documentation.
*Assist with the AML and due diligence checks for corporate and institutional clients.
The ideal candidate will have:
*Some regulatory compliance experience within the investment banking / broking sector
*Some experience of Control Room operation – preferred but not essential
*Awareness of the UK regulatory framework.
*Excellent communication skills
*Attention to detail
*Strong team player
*Confident, professional and reliable
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