Monitoring Compliance Officer - London

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Monitoring Compliance Officer - London

My client, is an institutional, agency only broker, that also services as the independent equity trading arm for a financial holding company and they are recruiting for a Monitoring Compliance Analyst/Officer to assist the Head of Compliance in undertaking their regulatory responsibilities.

The company are city based, with river views, and are looking for the right candidate to grow within their institution.

Key Accountabilities

* Perform reviews of the firm's compliance with documented policies, processes and procedures,

* Recommend enhancements to processes,

* Assist in the implementation of identified/agreed enhancements,

* Ensure Compliance management are apprised of compliance risks and issues associated with the Companies Monitoring Process (CMP),

* Assist in the development of the firm's CMP

Keywords: Monitoring Compliance Officer, London, Compliance Monitoring Process, Risk, FCA, Electronic Trading, Brokerage