Senior Compliance Monitoring Analyst - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Responsibilities include:

Assisting with the management and delivery of all aspects of the Compliance Monitoring Plan
Conducting thorough Compliance Monitoring reviews, covering a range of activities, across the business platforms, to ensure compliance with all applicable regulations and internal standards
Identifying and analysing potential risks to the firm and preparing written reports for the Head of Compliance and relevant business stakeholders, including details of findings and agreed remedial actions
Monitor the progress and completion of remedial actions as a result of Compliance Monitoring review findings
Prepare management information for senior management and the Risk and Compliance Committee
Providing general Compliance advice to business stakeholders where required
Adhoc duties as required

Skills desired include:

Previous experience in Compliance Monitoring or Internal Auditing
Experience of Control Room/Control Testing
Knowledge and experience of a similar wholesale, retail or professional services firm
Relevant regulatory knowledge including some of the following: COBS, CASS, SYSC, MAR, LSE and other rules, MiFID II, HMRC ISA Rules, JMLSG
Ability to learn quickly and solve problems
Strong communication skills
Experience of producing written reports

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.