MERJE is excited to be partnering with this highly prestigious stockbroking firm in their search for a Compliance specialist. This well regarded City based firm specialises in capital markets, M&A, and debt advisory services.
As part of an established compliance team, you will play a crucial role in maintaining regulatory compliance and safeguarding the company's reputation.
You will:
- Monitor and manage information barriers within the firm
- Ensure compliance with FCA regulations and internal policies
- Provide guidance on control room procedures to various departments
- Assist with market sounding approvals and logging.
- Assist with Personal Account Dealing process and maintain the required records.
- Maintain the conflicts of interest register, declarations of interest process and the gifts and entertainment procedures.
- To assist with new client take-on requests, including background screening, due diligence checks and coordinating documentation.
- Assist with the AML and due diligence checks for corporate and institutional clients.
The ideal candidate will have:
- Some regulatory compliance experience within the investment banking / broking sector
- Some experience of Control Room operation – preferred but not essential
- Awareness of the UK regulatory framework.
- Excellent communication skills
- Attention to detail
- Strong team player
- Confident, professional and reliable
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