Compliance Analyst - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

We are recruiting for a newly established organisation seeking a Compliance Operations analyst to assist in the following;

Ensure all registrations required under AP/SMCR regimes properly completed including all backing documentation.
Ensure all staff training requirements carried out on time and properly recorded.
Ensure all FCA reporting requirements completed on a timely basis.
Dealing with all PA dealing and Gift & Entertainment approvals and ensure all properly recorded.
Manage Conflict of Interest disclosures and processes
Ensure Breach & Complaint Register maintained and all required actions properly completed.

You should have previous experience of some of the above either from a small Compliance Dept carrying out a variety of duties or if in a larger firm, a specific Central Compliance team carrying out some or all of the above.