Compliance Monitoring Analyst

The Compliance Monitoring Analyst who will be based in London will be responsible for:

• ​Compliance monitoring in accordance with regulatory and internal standards
• Conducting reviews of trading including best execution in relation to portfolio's
• Reviewing trades on regulated funds for compliance with requirements
• Regular checks on portfolio's for compliance with suitability requirements
• Reviewing PA dealing to ensure in accordance with requirements
• ​Reviewing Financial Promotions to ensure clear, fair and not misleading
• Undertaking reviews to ensure compliance with TCF/Consumer Duty requirements
• Assisting with FCA returns
• Monitoring compliance with Training and Competence requirements
• Supporting and/or providing Compliance training to staff
• Market Abuse Monitoring
• Compilation of various management reports
• General administration
• First line escalation point for compliance queries
• Projects and ad-hoc tasks as required by management
• Attend meetings and prepare minutes when required
• Prepare updates of compliance documentation
• Assist with responses to complaints
• Deal with responses to due diligence requests on the Company
• Such other tasks and projects as may reasonably be require