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:
1. Some regulatory compliance experience within the investment banking / broking sector
2. Some experience of Control Room operation – preferred but not essential
3. Awareness of the UK regulatory framework.
4. Excellent communication skills
5. Attention to detail
6. Strong...