TRADE MONITORING, BREACHES AND ERRORS ANALYST (CONTRACT)
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| Job Type | Contract |
| Area | City, UK |
| Sector | ComplianceFinancial ServicesRisk |
| Salary | to £55k pro rata |
| Currency | GBP |
| Start Date | |
| Job Ref | 15/10 |
| Job Views | 141 |
- Description
- An exciting opportunity to join an investment/wealth management company based in the City for a contractual until March 2020. Purpose of the position to provide first line monitoring of all trade transactions and the handling of day-to-day broking/trading enquires.
MUST HAVE
“Knowledge of CASS”
“Compliance and regulatory experience”
DUTIES INCLUDE:
“Monitoring all trade transactions”
“Monitoring of CASS framework and recording of CASS breaches”
“Handling trading complaints”
“Advise on the implications of new trading-related rules, guidance and regulatory requirements”
“Identify any suspected money laundering activities”
“Provide training and guidance to the groups regulatory supervisory team”
To be considered for this role, candidates MUST have industry related experience and expert knowledge of stockbroking and trading related regulatory requirements. Must be an investment compliance ‘expert’, thoroughly conversant with FCA Rules, knowledgeable of Financial Ombudsman Service and EU Directives affecting the financial service industry and have strong attention to detail.
Applicants must be available at short notice.