Compliance Analyst - London, United Kingdom - Coopman Search and Selection

Description

Due to continued growth they are looking at bringing in a Regulatory Compliance Analyst to assist with day-to-day Compliance activities and continue to develop the existing Compliance Monitoring and Surveillance Programme.

Foster relationships with front office staff to enhance their understanding of regulatory obligations
Monitor front office operations for adherence to rules, escalate issues as needed, and implement corrective actions
Conduct compliance reviews and assessments of front office activities
Test controls to ensure business operations comply with regulatory requirements
Act as a first point of contact for general regulatory queries, providing advice and guidance to the business
Generate management information reports on surveillance, liaison, and training efforts
Lead remediation projects for areas of compliance weakness identified by the second line of defence
Contribute to the alignment of policies and procedures with actual practices
Assist with ad-hoc compliance tasks and coverage of team responsibilities
Promote a culture of conduct and compliance throughout the organisation

Experience of working within the Compliance function of a regulated Investment firm
Demonstrable experience of providing Compliance advice to the business as well as implementing solutions to bolster first line defences
Strong knowledge of the regulatory environment for FX and Payments firms

This role would be perfectly suited for a Compliance professional with exposure of working in a regulated Investment firm, who would like to be part of a tight knit team with generalist responsibility which will have a real impact on the business' wider Compliance programme.

As a recognised Great Place to WorkTM, we ensure our workplace is one that fosters professional growth and collaboration.