Compliance Officer
2 months ago
MERJE Ltd is partnering with a prestigious stockbroking firm to find a Compliance specialist.
This City-based firm specializes in capital markets, M&A, and debt advisory services.
As part of an established compliance team, you will play a key role in maintaining regulatory compliance and safeguarding the company's reputation.
You will:
- Monitor and manage information barriers within the firm
- Ensure compliance with FCA regulations and internal policies
- Provide guidance on control room procedures to various departments
- Assist with market sounding approvals and logging
- Assist with Personal Account Dealing process and maintain required records
- Maintain conflicts of interest register, declarations of interest process, and gifts and entertainment procedures
- Assist with new client take-on requests, including background screening, due diligence checks, and coordinating documentation
- Assist with AML and due diligence checks for corporate and institutional clients
The ideal candidate will have:
- Regulatory compliance experience within the investment banking/broking sector
- Control Room operation experience (preferred but not essential)
- Awareness of the UK regulatory framework
- Excellent communication skills
- Attention to detail
- Strong analytical skills
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