At a Glance
- Tasks: Support compliance monitoring and ensure regulatory adherence in a dynamic financial environment.
- Company: Leading organisation in the financial services industry based in London.
- Benefits: Competitive salary, potential for future opportunities, and experience in a prestigious sector.
- Other info: Exciting opportunity with potential for career growth in a fast-paced industry.
- Why this job: Join a vital role in compliance and make a difference in the financial services landscape.
- Qualifications: 2-5 years' experience in compliance within an FCA-regulated firm.
The predicted salary is between 50000 - 50000 £ per year.
This is an exciting opportunity for a Compliance Analyst to join a leading organisation in the financial services industry on a 12-month fixed-term contract. The role is based in London and involves supporting the Risk & Compliance department in ensuring regulatory adherence and mitigating compliance risks.
Client Details: Broker / Dealer - International Capital Markets
Description:
- Supporting the Compliance Monitoring Programme (CMP), including thematic reviews and control testing
- Providing advisory support to the business on FCA rules and internal policies
- Assisting with financial crime matters, including AML / KYC queries and escalations
- Monitoring employee conduct controls (e.g. PA dealing, conflicts of interest, gifts & hospitality)
- Maintaining compliance logs, registers, and records
- Supporting regulatory reporting and filings
- Assisting with policy and procedure updates in line with regulatory developments
Profile:
- 2-5 years' experience in a Compliance role within an FCA-regulated firm
- Experience in a Broker/Dealer, investment firm, or trading environment preferred
- Strong understanding of FCA regulations (e.g. SYSC, COBS)
- General compliance frameworks and controls
Job Offer:
- Competitive salary of 50,000 per annum
- 12-month fixed-term contract with potential for future opportunities
- Opportunity to work in the financial services industry in London
Compliance Analyst - 12 month FTC - Brokerage. Job in London LilyLifestyle Jobs employer: United Cerebral Palsy of Georgia
Join a leading organisation in the financial services industry as a Compliance Analyst, where you will thrive in a dynamic work culture that prioritises regulatory adherence and employee development. Based in London, this role offers competitive remuneration, a supportive environment for professional growth, and the chance to make a meaningful impact within a respected Broker/Dealer firm. With opportunities for future roles and a commitment to compliance excellence, this is an ideal place for those seeking a rewarding career in finance.
Contact Details:
United Cerebral Palsy of Georgia Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Analyst - 12 month FTC - Brokerage. Job in London LilyLifestyle Jobs
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services industry, especially those who work in compliance. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance frameworks. We recommend creating a cheat sheet of key points to discuss, so you can impress the hiring managers with your knowledge.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you, and tailor your approach to each one!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can keep you top of mind and show your enthusiasm for the role. Plus, it’s a great chance to reiterate why you’re the perfect fit for their compliance team.
We think you need these skills to ace Compliance Analyst - 12 month FTC - Brokerage. Job in London LilyLifestyle Jobs
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Analyst role. Highlight your experience in FCA-regulated firms and any specific compliance frameworks you've worked with. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can help us at StudySmarter. Be sure to mention any relevant experience with AML/KYC queries or regulatory reporting.
Showcase Your Understanding of Regulations:In your application, demonstrate your understanding of FCA regulations like SYSC and COBS. We’re keen to see how you’ve applied this knowledge in previous roles, so don’t hold back on the details!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates from us. Plus, it’s super easy!
How to prepare for a job interview at United Cerebral Palsy of Georgia
✨Know Your FCA Regulations
Make sure you brush up on the key FCA regulations relevant to the role, like SYSC and COBS. Being able to discuss these confidently will show that you understand the compliance landscape and are ready to hit the ground running.
✨Showcase Your Experience
Prepare specific examples from your previous roles that highlight your experience in compliance, especially within an FCA-regulated firm. Use the STAR method (Situation, Task, Action, Result) to structure your answers and make them impactful.
✨Understand the Business
Research the company’s operations and how they fit into the broader financial services industry. Knowing their business model and any recent news can help you tailor your responses and demonstrate genuine interest during the interview.
✨Prepare Questions
Have a few thoughtful questions ready to ask at the end of the interview. This could be about their Compliance Monitoring Programme or how they handle regulatory changes. It shows you're engaged and thinking critically about the role.
