Compliance Analyst

Good knowledge of the FCA Rules

Undertake monthly communications monitoring.

Undertake other compliance monitoring in accordance with the firm’s CMP, under guidance from the Compliance Officer.

Prepare reports in respect of all monitoring for review by/discussion with the Compliance Officer, in accordance with Company guidelines.

Assist the Compliance Officer with monitoring of outsourcing to third parties.

Assist in arranging relevant compliance training for all staff.

Assist the Compliance Officer in ensuring that the firm can respond in a timely basis to requests for information from the FCA.

Assist the Compliance Officer in ensuring that all individuals performing a controlled function receive regulatory approval before commencing duties.

Assist the Compliance Officer in ensuring the annual Certification of staff is completed in a timely manner.

Ensure all compliance registers and relevant records are maintained and kept up-to-date.