Senior Compliance Monitoring Analyst

3 weeks ago

Buckinghamshire, United Kingdom Taylor Root Full time

The Compliance Analyst will play a pivotal role in supporting the Corporate Compliance Manager in managing compliance risks within the Group. This role will involve ensuring timely completion of counterparty due diligence and periodic reviews, as well as ensuring compliance with key regulations such as the UK Bribery Act, General Data Protection Regulation (GDPR), and Modern Slavery Act. The successful candidate will work closely with front office personnel, assist in developing new reporting methods for senior management, and actively contribute to committee meetings.
Utilise various third-party and internal databases to conduct due diligence on counterparties. This includes identifying the nature of an entity's role in a transaction and producing corporate trees to ascertain beneficial ownership and subsidiary holdings.
# Deployment of Compliance Training: Take responsibility for deploying group-wide computer-based compliance training programs.
# Policy Adherence: Review and adhere to internal compliance policies and procedures, ensuring alignment with applicable legislation and regulations.
# Assist in drafting and documenting procedures, policies, and processes as necessary to enhance compliance practices.
# Administrative Tasks: Provide support for all compliance matters and undertake day-to-day administrative tasks related to compliance activities.
# Monitoring Alerts: Clear due diligence monitoring alerts on a daily basis to ensure timely resolution of potential compliance issues.
# Regulatory Updates: Stay abreast of regulatory and commercial developments, providing updates to the Corporate Compliance Manager to ensure compliance practices remain current and effective.


Bachelor's degree in a relevant field (e.g., Business, Law, Finance)
Strong understanding of regulatory requirements, particularly in relation to compliance with the UK Bribery Act, GDPR, and Modern Slavery Act
Proficiency in using various databases and computer-based compliance tools

Prior experience in a compliance or regulatory role preferred
Experience conducting due diligence and familiarity with compliance training programs is advantageous

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