- Link: Compliance Analyst from Capital.com
- Dates: All year 2023
- Job location: London, UK.
- Job description: Conduct regular reviews of the firm's policies and procedures to ensure they comply with relevant regulations. Assist with the implementation of new compliance processes and procedures. Provide guidance and support to the business on regulatory compliance matters. Assist with the preparation of regulatory reports and returns. Monitor regulatory developments and advise the business on the impact of any changes. Assist with the delivery of compliance training to the business. Investigate and report on any breaches of regulatory requirements. Conduct investigations and reviews of suspicious transactions or other potential compliance issues. Assist with the review and approval of marketing and advertising materials. Support the compliance team and client-facing teams in responding to client complaints.
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