Compliance Monitoring and Testing Associate

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.