Compliance Monitoring and Testing Analyst
3 weeks ago
Company - Investment Bank
Role - Compliance Monitoring and Testing Analyst
Location - London
Hybrid
Responsibilities / Accountabilities
- Contribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations.
- With oversight, responsible for performing the ongoing review, management and testing of regulatory and operational risks and controls.
- Assist in the review and updating of the Compliance Monitoring Plan.
- Completion of the Risk and Control Self-Assessment process across all areas of the business.
- Perform root cause analysis on any operational risk events that occur.
- Assist with Corporate Finance file reviews.
- Given size of firm and team, there is a need for all team members to support each other, providing the opportunity to gain exposure to other areas of Compliance from time to time as required.
- Contribute to ongoing trade surveillance and the submission of STORs.
- Working with the Head of Compliance to assist with ad-hoc Compliance Projects in relation to regulatory matters, oversee effectiveness of the control framework.
- Use findings from monitoring activity to enhance Compliance policies and procedures and identify areas for further review.
- Contribute to Compliance management reports to be submitted to the Executive Committee, Board and Audit Committee meetings.
Skills / Knowledge / Expertise Required
- Good experience of Compliance monitoring practices and operational risk control assessments (experience of the investment banking / broking sector beneficial).
- Good knowledge of the UK regulatory framework including but not limited to FCA Rules and Guidance including SYSC, COBS, MAR, LR, DTR, PR
- Good knowledge of associated statutory legislation including UK Money Laundering Regulations, Market Abuse Regulations, Bribery Act etc
If this role is of interest then please follow the steps to apply.
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