COMPLIANCE ANALYST – GIFTS & PA DEALING AND/OR REGISTRATIONS & REPORTING EXPERIENCE REQUIRED
£40K-£50K + bonus & bens | LONDON
We are recruiting for a newly established organisation seeking a Compliance Operations analyst to assist in the following;
- Ensure all registrations required under AP/SMCR regimes properly completed including all backing documentation.
- Ensure all staff training requirements carried out on time and properly recorded.
- Ensure all FCA reporting requirements completed on a timely basis.
- Dealing with all PA dealing and Gift & Entertainment approvals and ensure all properly recorded.
- Manage Conflict of Interest disclosures and processes
- Ensure Breach & Complaint Register maintained and all required actions properly completed.
You should have previous experience of some of the above either from a small Compliance Dept carrying out a variety of duties or if in a larger firm, a specific Central Compliance team carrying out some or all of the above.
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at email@example.com (Including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.