Compliance Analyst - Compliance Monitoring - Capital Markets

· Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counterparties.

· Undertake activities of the Compliance Monitoring Programme - not limited to transaction monitoring, personal account dealing, gifts log,

· Conducting communications monitoring (voice and electronic), ensuring compliance with the Firm's policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management.

· Support of Companies House filings

· Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner.

· Support the Senior Compliance Officer with the preparation of management information.

· Preparation of SMF and Certified applications, & records kept regarding those individuals.