Compliance Analyst
City of London, London, United Kingdom
CMC Markets UK Plc
We have a new and exciting opportunity for a Compliance Analyst to join our London team. Reporting into a Compliance Manager, your position will involve supporting the Compliance function in ensuring that the firm meets its regulatory objectives. *** Please note that this is an onsite role … with the resolution of findings. Work with the business units to develop a good understanding of their strategy, services and products. Work collaboratively with Compliance colleagues sharing best practice and promoting open dialogue and communication. Review/approve/oversee client categorisation, including elective professional client opt ups. Maintain … the principles of TCF are being met. Assist with advice/guidance to the business and oversight of the handling of key areas of Compliance, including client money, financial promotions, and product governance etc., and ensure that employees are made aware of and understand their regulatory responsibilities. Assist the more »
Employment Type: Permanent
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