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Compliance Advisory Analyst Compliance or Legal Experience of Investment/Wealth Management or Stockbroking/Securities Trading


£40 to £50K + Benefits + Bonus


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Our client, a leading independent Stockbroking and Wealth Management company are looking to hire a Compliance Advisory Analyst. In an interesting & varied role the main duties are as follows:

  • Provision of a proactive and technical service to the business on the interpretation and guidance of the FCA's rules

  • Conduct impact assessments and gap analysis for any new FCA initiatives

  • Provision of technical advice and assistance to data privacy advisers

  • Provision of assistance in the resolution of errors, breaches or incidents within the business.

  • Assist with group policy and procedure reviews, updates and enhancements as required

  • Network with peer firms to understand their interpretation of new rules and attend trade body or external meetings & seminars

  • Assist in the preparation of Management Information for Management Committees and assist in ad hoc tasks and projects as required

  • Liaison with the monitoring team to update risk assessment, scheduling and focus of the compliance monitoring programme

The ideal candidate should have a very minimum of two years of Compliance or Legal experience of Investment/Wealth Management or Stockbroking/Securities Trading (whether gained a similar in-house department, a consultancy/law firm or a UK Regulator). NB Benefits include study support where required.

For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at dcrook@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge

Posted 139 days ago

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