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Compliance Analyst - Control Room

  • Salary: £50,000 per year
  • Job Type:Permanent

Posted 12 days ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email: emanson@merje.com
  • Contact Phone: 0203 637 1601
  • Expiry Date: 05 November 2024
  • Job Ref: EM/12145
  • Flexible Working: Partially Remote

MERJE is excited to be partnering with this highly prestigious stockbroking firm in their search for a Compliance specialist.  This well regarded City based firm specialises in capital markets, M&A, and debt advisory services.

As part of an established compliance team, you will play a crucial 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 the required records.
  • Maintain the conflicts of interest register, declarations of interest process and the gifts and entertainment procedures.
  • To assist with new client take-on requests, including background screening, due diligence checks and coordinating documentation.
  • Assist with the AML and due diligence checks for corporate and institutional clients.

The ideal candidate will have:

  • Some regulatory compliance experience within the investment banking / broking sector
  • Some experience of Control Room operation – preferred but not essential
  • Awareness of the UK regulatory framework.
  • Excellent communication skills
  • Attention to detail
  • Strong team player
  • Confident, professional and reliable

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