Job Advertisement: Equity Compliance Analyst
Position: Equity Compliance Analyst
Location: City of London
Suggested Salary: Up To £90K
Role Overview:
As an Equity Compliance Analyst, you will play a crucial role in ensuring our firm's adherence to regulatory requirements and industry best practices. Reporting directly to the General Manager of Legal & Compliance, you will be responsible for monitoring communications, conducting compliance checks, and assisting with anti-money laundering (AML), bribery, and corruption monitoring activities.
Key Responsibilities:
・Stay updated on relevant regulatory frameworks, including FCA Rules and JMLSG Guidance.
・Conduct monthly communications monitoring to identify any potential compliance issues.
・Perform compliance and AML, bribery, and corruption monitoring activities under the guidance of the Compliance Officer.
・Prepare comprehensive reports detailing monitoring findings for review and discussion with the Compliance Officer.
・Assist in conducting client file reviews for Know Your Customer (KYC) sign-off by the MLRO.
・Support the Compliance Officer in monitoring outsourcing activities to third parties.
Qualifications and Skills:
- ・Bachelor's degree in finance, business administration, law, or a related field.
- ・Prior experience in compliance, preferably within the financial services industry.
- ・Strong knowledge of FCA Rules, JMLSG Guidance, and other relevant regulatory requirements.
- ・Excellent analytical skills and attention to detail.
- ・Ability to communicate effectively and collaborate with cross-functional teams.
- ・Professional certification in compliance or AML (e.g., CAMS, ICA) is a plus.
- ・Japanese Skill could be advantage
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