Compliance Monitoring Analyst

vor 1 Monat

Sydney, Österreich PU Prime Vollzeit

Take the next step in your career with us today.

Compliance Monitoring AnalystResponsibilities & Duties
  • Responding to compliance enquiries
  • Performing regular monitoring to ensure that standards are adhered
  • Maintaining and reviewing policies and procedures to ensure compliance with the CySec and FSA rules and regulations
  • Monitoring and reporting on employees’ adherence to client policies and procedures, including by carrying out periodic compliance audits
  • Reviewing new regulations applicable to investment firms and identifying potential compliance risks
  • Developing compliance training materials and performing ongoing compliance training to employees
  • Examining, evaluating and responding promptly to client grievances.
  • Assessing the effectiveness of our client’s compliance program and advising on measures to reduce compliance risk
Requirements
  • Bachelor’s degree in Law
  • Excellent command of the English language, both verbal and written
  • Team spirit, excellent problem-solving ability and willing to study and develop
  • 3-5 years’ experience within the financial services sector will be considered as an advantage
  • Experience in dealing will be considered as an advantage
LanguageEnglishLocationSydney,Australia

LocationSydney,Australia

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PU Prime is a business name of PU Prime LLC. PU Prime LLC is registered in St. Vincent and the Grenadines with registration number: 271 LLC 2020, registered office at 1 Floor, First St Vincent Bank Building, James Street, Kingstown, St. Vincent and the Grenadines.

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