Salary: Negotiable
Reference:RS/BCR/7873_1568365302
Location:West Midlands
Sector:Finance Jobs
Type:Permanent

Do you have significant experience within the compliance field? If so, Bell Cornwall Recruitment are excited to present a role within a well respected stockbroking and investment company, as a Compliance Analyst.

The role itself:

To ensure the Firms compliance policies are adhered to and maintained through specific checks of departmental compliance. Through the provision of compliance support and advice regarding anti-money laundering, training and competence, as well as periodic monitoring regarding compliance checks of the firm and its regulatory requirements.

The Responsibilities include:

  • Assist in the implementation of regulatory rules, by establishing adequate in house controls through the FCA’s rule book and company compliance and guidelines.
  • To assist in the updating of compliance and client agreement documentation as well as delivering regulatory reports to divisional directors.
  • To undertake daily and periodic compliance reviews as well as assisting in the preparation of compliance plans, the monitoring of breaches, and to assist in the handling of complaints.
  • To develop and maintain up to date knowledge of the regulatory requirements and to ensure those regulations through both the FCA and LSE bodies, and report any serious violations of these to the divisional directors, and other relevant teams for additional training or the financial; crime compliance team if necessary.
  • Ad Hoc duties if and when required.

The Requirements include:

  • At least 3 years’ experience within Financial services in a similar role working significantly with CASS, market abuse and COBS.
  • Up to date knowledge of both market and regulatory developments as appropriate.
  • Analytical thinking and detail conscious in character.
  • To be self-driven, well organised and have both excellent interpersonal skills and be able to multitask efficiently and be flexible in nature.

Interested? Please click the ‘APPLY’ button now!

BCR have more fantastic opportunities for you!

Visit www.bellcornwall.co.uk & follow BCR on Twitter @LoveWorkBeHappy to view all of the latest jobs.

BCR want to make finding a job that you will love as smooth sailing as possible. BCR now offer evening appointments to fit around your working life.

Love Work Be Happy

BCR aim to get back to all successful applicants within 24 hours however if you have not received a response within this period then it may be that your application has been unsuccessful.

BELL CORNWALL RECRUITMENT

(For the purposes of recruiting for this vacancy Bell Cornwall Recruitment is acting as a recruitment agency. Bell Cornwall Recruitment is an equal opportunities employer who welcomes applications from all age groups)

PA/Executive Assistants, Secretarial, Reception, Administration, Marketing, IT, HR, Law, Finance, Customer Services, Sales

APPLY FOR THIS JOB

BCR have more fantastic opportunities for you!

Visit www.loveworkbehappy.co.uk & follow BCR on Twitter @LoveWorkBeHappy to view all of the latest jobs.

BCR want to make finding a job that you will love as smooth sailing as possible. BCR now offer evening appointments to fit around your working life.

Love Work Be Happy

BCR aim to get back to all applicants within 24 hours however if you have not received a response within this period then please feel free to contact us on 0121 5155910 at your earliest convenience.

BELL CORNWALL RECRUITMENT

(For the purposes of recruiting for this vacancy Bell Cornwall Recruitment is acting as a recruitment agency. Bell Cornwall Recruitment is an equal opportunities employer who welcomes applications from all age groups)

PA/Executive Assistants, Secretarial, Reception, Administration, Marketing, IT, HR, Law, Finance, Customer Services, Sales