Compliance Assurance - Monitoring Analyst CSA104076
Wilkinson & Associates
Edinburgh, United Kingdom
12d ago
  • A role has arisen within an asset management firm in Edinburgh to join as a Compliance Assurance Monitoring Analyst on a 6 month contract basis.
  • Key Responsibilities :

    The type of 2nd line oversight reviews that they may be performing includes :

  • Compliance with FCA regulation e.g. COBs, CASS, Principles for Business, Systems and Controls
  • Non-advised calls - annuity sales, ISA's
  • Client Money reconciliations
  • Complaints
  • Transaction reporting
  • Reward and Remuneration
  • Training and competence
  • Analysis - Rule Breaches, Complaints and Conduct.
  • Previous CASS experience would be beneficial.

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