Regulatory Compliance Analyst

1 week ago

London, United Kingdom Compliance Professionals Full time
Job Description

THE COMPANY:

We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT.

THIS ROLE IS NOT AN AML/ KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED.

THE RESPONSIBILITIES:

  • Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business.
  • Assisting in compliance oversight of all activities outsourced to other entities.
  • Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of appropriate management Information, and regulatory updates relevant to the Company.
  • Execution of a risk-based compliance monitoring programme in line with regulatory guidelines and in conjunction with business and compliance departments.
  • Monitoring the complaints handling and vulnerability processes and reviewing and reporting on root cause analysis
  • Compliance oversight of financial promotions issued by the firm.
  • Investigation of suspicious transactions and orders (market surveillance).
  • Assisting in the administration of the Senior Managers and Certification Function Regime.
  • Assisting in the documentation of internal controls, policies, and procedures.
  • Seeking continuous improvement to streamline compliance processes and achieving industry best practice in all related activities (utilising technology solutions where appropriate).
  • Ensuring that the Firm maintains accurate, detailed, and up to date records across all areas of the Firm’s business.

EXPERIENCE REQUIRED:

  • 2+ years’ experience in a regulatory compliance-based role – NOT AML/ KYC.
  • Good exposure and experience with retail investment products, crypto asset experience is highly advantageous.
  • Sponsorship is not offered for this position.

For further information please contact Jordan White

  • Regulatory Compliance Analyst

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY:We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT.THIS ROLE IS NOT AN AML/ KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED.THE RESPONSIBILITIES:Ensuring compliance with FCA regulations, in particular the rules relating to...

  • Regulatory Compliance Analyst

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT. THIS ROLE IS NOT AN AML/ KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED. THE RESPONSIBILITIES: Ensuring compliance with FCA regulations, in particular the rules...

  • Regulatory Compliance Analyst

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”). Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of...

  • Regulatory Compliance Analyst

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”). Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of...

  • Senior Regulatory Compliance Analyst

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. THE RESPONSIBILITIES: Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”). Reporting to senior stakeholders on the effectiveness of compliance...

  • Senior Regulatory Compliance Analyst

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. THE RESPONSIBILITIES: Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”). Reporting to senior stakeholders on the effectiveness of compliance...

  • Technical Compliance Analyst

    4 weeks ago

    London, United Kingdom Vixio Regulatory Intelligence Full time

    Technical Compliance Analyst -(GamblingCompliance)Company:nVixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape. We combine world-class content with advanced technology to help our clients make informed strategic decisions to mitigate...

  • Technical Compliance Analyst

    5 days ago

    London, Greater London, United Kingdom Vixio Regulatory Intelligence Full time

    Technical Compliance Analyst -(GamblingCompliance)Company:nVixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what's happening in an ever-changing landscape. We combine world-class content with advanced technology to help our clients make informed strategic decisions to mitigate...

  • Technical Compliance Analyst

    1 month ago

    London, United Kingdom VIXIO Regulatory Intelligence Full time

    Technical Compliance Analyst - (GamblingCompliance)Are you the right candidate for this opportunity Make sure to read the full description below.Company:Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape. We combine world-class content...

  • Technical Compliance Analyst

    1 month ago

    London, United Kingdom Vixio Regulatory Intelligence Full time

    Technical Compliance Analyst - (GamblingCompliance)Company:Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape. We combine world-class content with advanced technology to help our clients make informed strategic decisions to mitigate...

  • Technical Compliance Analyst

    4 weeks ago

    London, United Kingdom Vixio Regulatory Intelligence Full time

    Technical Compliance Analyst - (GamblingCompliance)Company:Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape. We combine world-class content with advanced technology to help our clients make informed strategic decisions to mitigate...

  • Technical Compliance Analyst

    3 weeks ago

    London, United Kingdom Vixio Regulatory Intelligence Full time

    Technical Compliance Analyst - (GamblingCompliance) Company: Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape. We combine world-class content with advanced technology to help our clients make informed strategic decisions to...

  • Technical Compliance Analyst

    3 weeks ago

    London, United Kingdom Vixio Regulatory Intelligence Full time

    Technical Compliance Analyst - (GamblingCompliance)Company:Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape. We combine world-class content with advanced technology to help our clients make informed strategic decisions to mitigate...

  • Technical Compliance Analyst

    1 month ago

    London, United Kingdom Vixio Regulatory Intelligence Full time

    Technical Compliance Analyst - (GamblingCompliance) Company: Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape. We combine world-class content with advanced technology to help our clients make informed strategic decisions to...

  • Technical Compliance Analyst

    3 weeks ago

    London, United Kingdom VIXIO Regulatory Intelligence Full time

    Technical Compliance Analyst - (GamblingCompliance)Make sure to read the full description below, and please apply immediately if you are confident you meet all the requirements.Company:Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing...

  • Technical Compliance Analyst

    3 weeks ago

    London, United Kingdom VIXIO Regulatory Intelligence Full time

    Technical Compliance Analyst - (GamblingCompliance)Make sure to read the full description below, and please apply immediately if you are confident you meet all the requirements.Company:Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing...

  • Technical Compliance Analyst

    1 month ago

    London, United Kingdom Vixio Regulatory Intelligence Full time

    Technical Compliance Analyst - (GamblingCompliance) Company: Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape. We combine world-class content with advanced technology to help our clients make informed strategic decisions to...

  • Technical Compliance Analyst

    4 weeks ago

    London, England, United Kingdom VIXIO Regulatory Intelligence Full time

    Technical Compliance Analyst -All potential candidates should read through the following details of this job with care before making an application.(GamblingCompliance)Company:Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape. We...

  • Technical Compliance Analyst

    3 weeks ago

    City of London, Greater London, United Kingdom VIXIO Regulatory Intelligence Full time

    Technical Compliance Analyst - All potential candidates should read through the following details of this job with care before making an application. (GamblingCompliance) Company: Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape....

  • Senior Regulatory Compliance Analyst

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT. THIS ROLE IS NOT AN AML/ KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED. THE RESPONSIBILITIES: Ensuring compliance with FCA regulations, in particular the rules...