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Compliance Monitoring Analyst
Our client are an international Wealth Management firm who are based in London Description The Compliance Monitoring Analyst who will be based in London will be responsible for: ???Compliance monitoring in accordance with regulatory and internal standards Conducting reviews of trading including best execution in relation to portfolio's Reviewing trades on regulated funds for compliance with requirements Regular checks on portfolio's for compliance with suitability requirements Reviewing PA dealing to ensure in accordance with requirements ???Reviewing Financial Promotions to ensure clear, fair and not misleading Undertaking reviews to ensure compliance with TCF/Consumer D


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