Job Description
Coopman Search & Selection are delighted to partner with a globally recognised foreign exchange brokerage headquartered in London. Due to continued growth they are looking at bringing in a Regulatory Compliance Analyst to assist with day-to-day Compliance activities and continue to develop the existing Compliance Monitoring and Surveillance Programme.
Key Responsibilities:
* Foster relationships with front office staff to enhance their understanding of regulatory obligations
* Monitor front office operations for adherence to rules, escalate issues as needed, and implement corrective actions
* Conduct compliance reviews and assessments of front office activities
* Test controls to ensure business operations comply with regulatory requirements
* Act as a first point of contact for general regulatory queries, providing advice and guidance to the business
* Generate management information reports on surveillance, liaison, and training efforts
* Lead remediation projects for areas of compliance weakness identified by the second line of defence
* Contribute to the alignment of policies and procedures with actual practices
* Assist with ad-hoc compliance tasks and coverage of team responsibilities
* Promote a culture of conduct and compliance throughout the organisation
Core Competencies & Experience:
1. Experience of working...