Compliance Analyst - London, United Kingdom - Marks Sattin recruitment

Marks Sattin recruitment

Verified Company

London, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Daily tasks/responsibilities:

Monitor changes to the business and areas of regulatory change and work with the senior compliance officer to assess the impact on the compliance testing and monitoring plan and the business;
Assist with the maintenance the compliance policies and procedures framework, ensuring all artefacts are updated on a regular basis effectively and clearly organise and document information arising from the execution of the monitoring and testing programmetargeted at different stakeholders
Carry out and assist with the execution of the firm's compliance risk assessment and the monitoring and testing program, in accordance with industry standards and expectations of management, auditors, and the FCA.
Design testing sheets and conduct analysis of processes compliance to measure and provide clear observations of the risk factors and controls;
Assist with thematic reviews of different business areas, for example personal account dealing, appropriateness, categorisation, product governance, priip kid compliance, various client disclosures, financial promotions, consumer duty and other conductrelated matters under mifid ii/fca handbook;

Key skills & Experience:

1+ year experience as a business analyst, audit, compliance, or risk with relevant experience in conducting system or programme testing and/or thematic reviews;
Knowledge of the regulatory framework, including Conduct Risk, PERG, COBs, DISP, SYSC, and other relevant FCA Sourcebooks / Guidance is a plus;
Excellent communication and written skills, particularly the ability to interpret and transform information into effective and clear language aimed at target audience;
Significant interpersonal skills and the ability communicate effectively with the key stakeholders inside and outside of the firm to build strong relationships and achieve results;
High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions, strong excel skills;
Ability to work independently and manage multiple, deadlinedriven priorities in the fastpaced work environment with strong attention to detail;
Outstanding analytical, problem solving, organisation and followup skills