Compliance Assurance - Monitoring Analyst CSA104076
Job Industry: Temporary / Interim
Salary: £350 - £400 per day
Job Type: Contract
Reference Number: CSA104076
- 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.
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
*Reward and Remuneration
*Training and competence
*Analysis - Rule Breaches, Complaints and Conduct.
Previous CASS experience would be beneficial.