Control Room Compliance Specialist

Attribution Search; Greater London; On-site; GBP 40,000 - 60,000; Full time

Job summary

Attribution Search in Greater London is seeking a Compliance Analyst to support the Compliance Control Room and help ensure regulatory adherence. The role involves reviewing information barrier requests, conflicts and employee activity, and elevating potential incidents.

You will provide guidance on policies, maintain records, and assist with reporting, monitoring and certification processes while collaborating with Compliance, Legal, Risk and HR on key initiatives.

Qualifications

• Degree educated in finance, business, economics, law or a related field.
• Experience in compliance within financial services.
• Exposure to information barriers, market conduct or surveillance.
• Strong organisational skills and ability to manage priorities.
• Proactive and able to work independently with attention to detail.
• Knowledge of financial markets is advantageous.

Responsibilities

• Support day-to-day operation of the Compliance Control Room.
• Review requests relating to information barriers, restricted lists, conflicts, and employee activities.
• Assess and elevate potential compliance incidents and breaches.
• Provide advice on compliance policies, regulatory requirements and information barriers.
• Maintain accurate records, approvals and audit trails.
• Support reporting, monitoring and certification processes.
• Assist with policy enhancements and process improvement initiatives.
• Partner with Compliance, Legal, Risk, HR and business teams on key projects.

Skills

Communication skills

Organisational skills

Attention to detail

Independent worker

Proactive

Education

Degree in Finance/Business/Economics/Law

Tools

Microsoft Office

Job description

Attribution Search in Greater London is seeking a Compliance Analyst to support the Compliance Control Room and help ensure regulatory adherence. The role involves reviewing information barrier requests, conflicts and employee activity, and elevating potential incidents.

You will provide guidance on policies, maintain records, and assist with reporting, monitoring and certification processes while collaborating with Compliance, Legal, Risk and HR on key initiatives.