Senior Compliance Analyst

2 weeks ago

London, Greater London, United Kingdom eFinancialCareers Full time

Description

The Corporate Compliance function, which is part of the Governance, Risk and Compliance Department and acts as a shared service for the entire workforce of the highly regulated global organization.

Corporate Compliance is responsible for the creation, implementationand execution of CME Group's global compliance program.

This role provides support to the Corporate Compliance function, helps drive compliance messaging in the company, with a focus on EMEA region, and acts as a backup to the Senior Director, InternationalCompliance & ERM in the EMEA and APAC time zone as needed.

The Senior Analyst supports the provision of compliance services to the wider risk and compliance group internationally covering areas such as compliance and risk training, preparing reports, tracking,compliance project management, regulatory registrations, surveillance and monitoring and various other central compliance activities.

The Senior Analyst also supports requests from CME Group's clients to provide assurances in response to client inquiries aboutour business, operational, risk management and other compliance and control processes and environment.


Job Description:
Reporting directly into the Senior Director, International Compliance & ERM, the individual will be responsible for the following:

  • Support in deployment of regulatory and internal policy compliance programs for CME Group's operations.
  • Serve as a resource for compliance inquiries and issues by seeking guidance and coordinating responses in a timely manner.
  • Conduct periodic monitoring and auditing of compliance activities and relevant individuals to ensure ongoing compliance and to assess for process improvements.
  • Review conflicts of interest and gifts and entertainment disclosures and provide recommendations to managers as to the appropriate course of action.
  • Support the Compliance function in the provision of training and policy certifications to staff globally, including escalations and tracking to completion.
  • Use data to proactively identify potential enhancements in policies, controls and monitoring activity, and resulting Management and Committee reporting.
  • Review existing compliance processes and recommend enhancements to ensure an efficient and effective use of resources; enhance documentation on processes; evaluate and implement automation opportunities.
  • Work with the various regulatory teams to ensure the registration of individuals and entities is undertaken in a timely fashion across the various jurisdictions.
  • Provide additional support, such as adhoc compliance reviews and information requests, to regulatory compliance officers, as appropriate and requested.
  • Assist with the company's Anti Financial Crime Program as requested, including conducting sanctions screening and analyzing results.
  • Assist with internal and external audits and regulatory exams as necessary, and assist managers in identifying, prioritizing and developing response plans to risks identified in audits, assessments, regulatory exams, etc. and assist with tracking and remediation,as appropriate.
  • Pursue opportunities to develop and strengthen knowledge of compliance through training, conferences, and other outlets, motivated to learn and willing to obtain professional certifications increasing the understanding and skills essential to this role.
  • Stay informed of the current risk and compliance landscape, especially regarding applicable new or amended laws and regulations and assist in the development of updated procedures and controls addressing these changes.
  • Facilitate and promote activities to foster effective risk and compliance awareness.
  • Assist with other special projects in compliance and risk as requested.

Experience/Qualification:

  • 5+ years of experience with, or exposure to, business functions such as compliance, audit, or risk at a highly regulated multinational company.
  • Ability to communicate and influence assertively, clearly and concisely, both in writing and verbally
  • Exceptionally strong attention to detail and accuracy.
  • Demonstrated ability to work effectively with a team and ability to foster working relationships.
  • Highly professional in interactions, demeanor and presentation.
  • Confident and decisive in stressful situations and tight time frames; utilizes good judgment and demonstrates maturity, tact and diplomacy; maintains confidences and utilizes the utmost in discretion.
  • Solid project management skills (ability to manage several competing assignments and perform assignments accurately and in a timely manner).
  • Knowledge of computer software (e.g. MS Office, Excel, Visio, PowerPoint, MS Project) and ability to learn new software systems quickly.

CME Group:
Where Futures Are Made

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