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.
Responsibilities:
* 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
* 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
Ideal Candidate:
* 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
Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful.
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