Compliance Analyst - Finance / Banking

Posted 26 January by Pontoon

Compliance Analyst

London

Role Responsibilities

Obtaining and maintaining registrations / certifications - regulatory and exchange for associates in various jurisdictions across all lines of business including;

  • On boarding; initial registration / certification, assessing examination requirements, organising and managing study materials, managing failures, Managing Do Not Deal notifications

Terminations;

  • Disclosure management
  • Ensuring timely/accurate responses to inquiries; provide advice and guidance on various registration related issues, including upcoming changes in UK Registration Regulations
  • Liaison with Senior LOB Executive Management, Senior LOB Compliance Executives and Managers, and coordinate with HR, Legal, Background Screening and other support areas
  • Meeting team productivity standards
  • Providing telephone support as needed
  • Identification of and participation in process improvement and regulatory change projects;
  • Working with lines of business and external partners on special projects. Including attendance at internal working forums.
  • Variety of monitoring and testing
  • Reporting to LOB's across Jurisdictions.
  • Accurate record keeping and regular reconciliation of registered associates

Please be advised if you haven't heard from us within 24 hours then unfortunately your application has not been successful on this occasion, we may however keep your details on file for any suitable future vacancies and contact you accordingly. Adecco is an employment consultancy and operates as an equal opportunities employer.

Reference: 34329930

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