Compliance Analyst 6 month Fixed Term Contract

Robert Walters
16 Aug 2019
23 Aug 2019
Contract Type

An excellent opportunity is available with a most respected Financial Services business based in Birmingham City Centre for a Compliance Analyst on a 6 month fixed term contract initially to ensure implementation of the firms compliance policies and undertakes specific checks and controls to ensure all departments are compliant.

Key Responsibilities:

  • Undertake daily and periodic compliance monitoring reviews to ensure controls are being followed
  • Assist in implementation of compliance policy and regulators rules
  • Dealing with day to day compliance queries relating to FCA's rulebook
  • Interpret COBS and CASS rules
  • Assist in preparation of plans for compliance function
  • Assist in analysis of errors and identification of breaches
  • Act as a point of reference within the business
  • Develop a strong and up to date knowledge of regulatory requirements

The Compliance Analyst will have experience of having worked in a Compliance Analyst, Officer or supporting role within a financial services business, ideally investment company or stockbroking firm. You will have experience of Market Abuse Regulations (MAR) and working with COBS (Conduct of Business Sourcebook). You will possess a strong understanding of regulatory compliance risk.

This is an excellent opportunity in The Midlands region. Please apply now or for further information contact Kayte Short at