Compliance Associate - Stockbroker

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 Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful.
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