Compliance Analyst - Control Room

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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