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Junior Central Compliance/Control Room Analyst - 8 month Fixed Term Mat Contract

Employer
Holmes Search
Location
London, United Kingdom
Salary
£40k - £50k
Closing date
Mar 8, 2024

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Interesting opportunity for a junior compliance officer looking for a Maternity cover contract in London. The role is working with a well established wholesale FS organisation supporting the compliance department with Central Compliance/Control Room duties.

This role would be perfect for someone relocating to London or looking to build on a compliance internship. A solid theoretical understanding of FCA rules and regulation effecting a wholesale organisation is a must as is the ability to work in a relatively small team. An outgoing personality would also be very advantageous as it will require you to liaise with other departments across the business.

Main Duties and Responsibilities
  • Review and clear PA Dealing requests, including reconciliation of accounts.
  • Review and update disclosures for investment recommendations
  • Assisting with maintenance of the Watch list including downloading calls and reviewing market sounding records.
  • Assist with the Compliance Monitoring Programme, including testing of the Firms information barriers
  • Assist in investigations as required, to prevent and detect the misuse of inside information.
  • Assisting with the compliance new joiner process including documentation requests, setting up inductions/training and logging of personal interests.
  • Maintenance of employee personal holding records including reconciliation of statements
  • Other ad-hoc Compliance tasks and projects at the discretion of management.
  • Support the Control Room on a day-to-day basis.

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