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Compliance Analyst
Immediate opportunity to join a prestigious West End based financial institution. Compliance Develop and implement a risk-based Compliance Monitoring Programme. Perform periodic monitoring, thematic reviews and transaction surveillance. Escalation, recording and remediation of issues identified from the monitoring. Work with team members to identify Compliance risks and to assist with the design and implementation of effective controls. Collate and produce Compliance management information to identify areas of improvements in the control framework. Assist with the development and implementation of each Compliance Framework (i.e. best execution, market abuse, CASS, conflicts of inte


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