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

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.