Compliance Analyst
3 weeks ago
REGULATORY COMPLIANCE ANALYST LONDON
HYBRID
£Our client, a global foreign exchange company are looking for a Regulatory Compliance Analyst who will be responsible for the monitoring and surveillance program and to maintain the utmost professionalism within the compliance team,
At the forefront of this role is the ability to build relationships with the front office, conduct compliance reviews and encourage awareness and collaboration across the teams.
Regulatory Compliance Analyst - What does the role involve?
Work with the Compliance team to create effective monitoring and testing plans
Execute compliance reviews, ensuring the effectiveness of controls and processes
Conduct engaging classroom-style training sessions for the Front Office on relevant compliance topics;
Nurture relationships with the front office to increase their understanding of regulatory obligations.
Provide day-to-day compliance advice and guidance, acting as the go-to resource for regulatory queries.
Raise awareness of the firm's processes and procedures, empowering the front office as the first line of defense.
Monitor Front Office activities for conduct and rule adherence, analyzing identified issues and escalating as necessary.
Test controls to guarantee business operations are consistently in compliance.
Generate Management Information (MI) reports on surveillance, liaison, and training activities
Provide support for testing and the development of new systems, contributing to the continuous improvement of our regulatory practices.
Lead projects focused on remediating specific areas of the Regulatory Compliance Department's monitoring oversight;
Take charge of compliance-led solutions when weaknesses in the first line of defense are identified.
Collaborate with the team to ensure policies and procedures accurately reflect best practices.
Actively participate in ad-hoc generalist compliance tasks, monitoring team inboxes, and providing cover for other team members.
Regulatory Compliance Analyst - What We Are Looking For?
Experience in regulatory compliance within the financial services industry.
Excellent communication and relationship-building skills to work effectively with cross-functional teams.
High standard of oral & written English is mandatory.
Regulatory Compliance Analyst - What's in it for you?
Competitive salary + discretionary bonus
Private healthcare
Pension scheme
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