Compliance Associate
- Salary£40k - £45k Annually
- LocationCity of London, London
- SectorCompliance & Regulation
- ReferenceCompl3507
- PublishedNovember 19th 2009
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
