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Compliance Analyst

Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

  • Assist in the day to day operational aspects of the Compliance functions
  • Attend to staff regulatory registrations both in the UK and USA
  • Assist Head of Compliance in production of appropriate management information on monthly, quarterly and ad hoc basis.
  • Assist in conducting and responding to investigations / reviews, as and when required.
  • Assist in establishing and maintaining training and awareness programme for fitness and propriety, assessing competency and compliance culture.
  • Conducting Compliance induction training for all staff
  • Disseminate new and updated compliance policies and procedures
  • Maintenance of all relevant compliance registers and compliance records in particular Personal Account Dealing, Conflicts of Interest, annual attestation and training records
  • Assist with internal and external audit program
  • Perform and manage other assignments, from time to time as requested by Head of Compliance.
  • Understanding of SMCR

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