Compliance Monitoring

Currently working with a large fintech brokerage, who are looking for a Compliance Monitoring Consultant, to join their London team. This individual will assist them in delivering their 2025 compliance monitoring plan, supporting the team on an initial 6 month contract.

Key Responsibilities:

• Document the methodology and approach for specific monitoring tests to ensure clarity and consistency.
• Conduct monitoring activities including both control and thematic testing
• Assisting the wider compliance team on market abuse, personal account dealing, outsourcing, transaction reporting, gifts and entertainment and communications surveillance.
• Identify significant gaps within the control framework and propose practical, proportionate remediation measures.
• Assist the broader monitoring team in developing presentation materials for relevant governance committees.

Key Requirements:

• Strong compliance experience in a monitoring focused role
• Previously worked within a bank, investment firm or trading venue
• Understanding of MiFID/MiFIR and the FCA handbook
• Able to start within a month

Please reach out to Nicole Poole at npoole@danosconsulting.com to learn more about this opportunity.