Compliance Monitoring Analyst

3 weeks ago

London, United Kingdom capital.com Full time
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talent team. We are seeking a Compliance Monitoring Analyst to join our Group Compliance team. The successful candidate will be responsible for ensuring that our firm complies with all its global regulatory requirements and standards.

Responsibilities:

Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and procedures Assisting in the development and implementation of compliance policies and procedures Conducting investigations and reviews of compliance issues, and making recommendations for corrective action, Provide support in creating reports that detail findings to update management, Maintaining accurate records and files of all compliance-related matters, Support the existing team with co-ordinating ongoing compliance projects and thematic reviews.

Requirements:

2-4 years of experience in second line compliance within the financial services industry, Knowledge of the global regulatory framework, specifically around CFD and Spread Betting , Knowledge of global client money regulations particularly in the UK and Europe, Strong understanding of financial services IT systems and controls is preferred, Excellent analytical skills and attention to detail, Strong written and verbal communication skills, Ability to work independently and as part of a team, Strong organisational and time management skills, A Bachelor's degree in a relevant field such as law, finance, business or accounting, is preferred but not essential.

In return, you'll get:

You will join the Company, that cares about work and life balance, Hybrid type of work (3 days/week from office), Medical Insurance after the probation period, Modern and outstanding equipment, Annual bonuses, Employee referral program, Full annual performance assessment. Be a key player at the forefront of the digital assets movement, propelling your career to new heightsJoin a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.

  • Compliance Monitoring Manager

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...

  • Compliance Officer Monitoring

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

  • Regulatory Compliance Analyst

    1 month 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...

  • Compliance Monitoring Manager

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance management within the business;...

  • Compliance Monitoring and Testing Analyst

    1 week ago

    London, United Kingdom Robert Half Full time

    Company - Investment Bank Role - Compliance Monitoring and Testing Analyst Location - London Hybrid Responsibilities / Accountabilities Contribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations. With oversight, responsible for performing the...

  • Compliance Monitoring and Testing Analyst

    1 week ago

    London, United Kingdom Robert Half Full time

    Company - Investment Bank Role - Compliance Monitoring and Testing Analyst Location - London Hybrid Responsibilities / Accountabilities Contribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations. With oversight, responsible for performing the...

  • Compliance Monitoring and Testing Analyst

    6 days ago

    London, United Kingdom Robert Half Full time

    Company - Investment Bank Do you have the skills to fill this role Read the complete details below, and make your application today.Role - Compliance Monitoring and Testing AnalystLocation - LondonHybrid Responsibilities / AccountabilitiesContribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can...

  • Compliance Monitoring and Testing Analyst

    1 day ago

    London, United Kingdom Robert Half Full time

    Job Description Company - Investment Bank Role - Compliance Monitoring and Testing Analyst Location - London Hybrid Responsibilities / Accountabilities Contribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations. With oversight, responsible for...

  • Compliance Monitoring and Testing Analyst

    7 days ago

    London, United Kingdom Robert Half Full time

    Job DescriptionCompany - Investment Bank Role - Compliance Monitoring and Testing AnalystLocation - LondonHybrid Responsibilities / AccountabilitiesContribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations.With oversight, responsible for performing...

  • Compliance Monitoring and Testing Analyst

    1 week ago

    Greater London, United Kingdom Robert Half Full time

    Company - Investment Bank Role - Compliance Monitoring and Testing AnalystLocation - LondonHybrid Responsibilities / AccountabilitiesContribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations.With oversight, responsible for performing the ongoing...

  • Compliance Monitoring and Testing Analyst

    7 days ago

    Greater London, United Kingdom Robert Half Full time

    Company - Investment Bank Role - Compliance Monitoring and Testing AnalystLocation - LondonHybrid Responsibilities / AccountabilitiesContribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations.With oversight, responsible for performing the ongoing...

  • Compliance Monitoring and Testing Analyst

    1 week ago

    Greater London, United Kingdom Robert Half Full time

    Company - Investment Bank Role - Compliance Monitoring and Testing AnalystLocation - LondonHybrid Responsibilities / AccountabilitiesContribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations.With oversight, responsible for performing the ongoing...

  • Compliance Monitoring and Testing Analyst

    1 week ago

    Greater London, United Kingdom Robert Half Full time

    Company - Investment Bank Role - Compliance Monitoring and Testing Analyst Location - London Hybrid Responsibilities / Accountabilities Contribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations. With oversight, responsible for performing the...

  • Compliance Monitoring and Testing Analyst

    1 week ago

    Greater London, United Kingdom Robert Half Full time

    Company - Investment Bank Role - Compliance Monitoring and Testing AnalystLocation - LondonHybrid Responsibilities / AccountabilitiesContribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations.With oversight, responsible for performing the ongoing...

  • Compliance Monitoring and Testing Analyst

    3 hours ago

    Greater London, United Kingdom Robert Half Full time

    Company - Investment Bank Do you have the skills to fill this role Read the complete details below, and make your application today.Role - Compliance Monitoring and Testing AnalystLocation - LondonHybrid Responsibilities / AccountabilitiesContribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can...

  • Senior Compliance Monitoring Manager

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    We are working exclusively with an International Wholesale Bank located in the City of London, who are looking for a Compliance Manager to join the team. Report to the Chief Compliance Officer, covering all aspects of compliance, specialising in customer due diligence and anti-money laundering. Review due diligence in respect of customers at take-on,...

  • Compliance Analyst

    2 weeks ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Do you have experience in KYC and CDD?Are you looking for a new law firm compliance opportunity?Do you want to work at a global law firm?Our client is an international law firm seeking a Compliance Analyst to join their team in London. This is a really exciting opportunity for someone looking for a new compliance opportunity within a global law firm.To apply...

  • Compliance Analyst

    2 weeks ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Do you have experience in KYC and CDD? Are you looking for a new law firm compliance opportunity? Do you want to work at a global law firm? Our client is an international law firm seeking a Compliance Analyst to join their team in London. This is a really exciting opportunity for someone looking for a new compliance opportunity within a global law firm. To...

  • Compliance Analyst

    1 day ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Job Description Do you have experience in KYC and CDD? Are you looking for a new law firm compliance opportunity? Do you want to work at a global law firm? Our client is an international law firm seeking a Compliance Analyst to join their team in London. This is a really exciting opportunity for someone looking for a new compliance opportunity within a...

  • Compliance Analyst

    2 weeks ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Do you have experience in KYC and CDD? Are you looking for a new law firm compliance opportunity? Do you want to work at a global law firm? Our client is an international law firm seeking a Compliance Analyst to join their team in London. This is a really exciting opportunity for someone looking for a new compliance opportunity within a global law firm. To...