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Compliance Associate London £40,000 to £45,000 12 month FTC

THE COMPANY:

We have been instructed by our client to find them a Compliance Associate to provide Maternity Cover for their busy London based team. They are a well regarded Bank offering a wealth of products including Fixed Income, Equity sales, Derivatives, Money Market and FX to name a few.

This is a great opportunity to gain some solid experience.

THE RESPONSIBILITIES:

• Monitoring and Review of the Institutional Equities Desk - and the Global Derivatives Compliance Review Program
• Carry out Compliance review and investigation work as part of the Compliance Review programme.
• Personal account dealing monitoring, approvals and review
• Firewalls (Chinese Walls) management
• FSA staff registrations
• Completing and submitting non-financial regulatory returns
• Financial promotions reviews
• Assisting in the preparation of staff training

EXPERIENCE REQUIRED:

• A good understanding of compliance and an ability to ‘hit the ground' running is required
• An understanding of the FSA rulebook is an advantage

Compl3507

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