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Senior Compliance Monitoring Analyst - London, United Kingdom - Michael Page (UK)
Description
London Permanent £50,000 - £65,000 per yearGrowing Compliance team
International Wealth Management firm
Our client are an international Wealth Management firm who are based in London
The Compliance Monitoring Analyst who will be based in London will be responsible for:
Compliance monitoring in accordance with regulatory and internal standards
Reviewing trades on regulated funds for compliance with requirements
Regular checks on portfolio's for compliance with suitability requirements
Reviewing Financial Promotions to ensure clear, fair and not misleading
Undertaking reviews to ensure compliance with TCF/Consumer Duty requirements
Monitoring compliance with Training and Competence requirements
Supporting and/or providing Compliance training to staff
Market Abuse Monitoring
Projects and ad-hoc tasks as required by management
Prepare updates of compliance documentation
Assist with responses to complaints
Such other tasks and projects as may reasonably be require
The Compliance Monitoring Analyst who will be based in London should have the following skills:
Prior financial services experience, preferably in an investment or platform-based environment
At least 5 years' experience in compliance, ideally within areas Investment compliance and general compliance experience
Proficiency in Microsoft Office (Excel/Word)
Registered Office: 200 Dashwood Lang Road, Bourne Business Park, Addlestone, Surrey, KT15 2NX
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