Compliance Monitoring Specialist

1 month ago

Canterbury, Kent, United Kingdom Compliance Recruitment Solutions Full time
Compliance Monitoring Analyst - Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required

We are seeking a highly skilled Compliance Monitoring Analyst to join our client's Compliance Team. As a key member of the team, you will be responsible for designing and delivering a compliance monitoring program to provide assurance to the business in relation to regulatory compliance and conduct risk.

Key Responsibilities:
  • Support the Head of Compliance in designing and delivering a compliance monitoring program to provide assurance to the business in relation to regulatory compliance and conduct risk.
  • Promote a culture whereby the Consumer Duty principles and policies are diligently adhered to and observed.
  • Responsibility for the design and delivery of assigned Regulatory and Conduct Monitoring assurance reviews.
  • Undertake checks to ensure that core controls are being followed, using system enquiries and reports, internal documentation and staff interviews to confirm that the firm is not exposed to undue risk.
  • Produce high-quality reports that clearly articulate the conclusions of the assurance activity, including an accurate measurement of the level of any regulatory and conduct risk.
  • Provide appropriate recommendations to the Head of Compliance based on the observations and findings of the monitoring activity.
  • Provide input to the design of the Compliance Monitoring Annual Plan, effectively analyzing and evaluating the risks to the business to identify the areas where assurance is required.
  • Support the Head of Compliance with the implementation of compliance policies and the regulator's rules, establishing adequate in-house controls and compliance procedures.
  • Assist the Head of Compliance in all areas of compliance, including preparing for any regulatory changes, ongoing monitoring, and any ad-hoc compliance projects.

The successful candidate will be of graduate calibre with at least 2 years' Compliance Monitoring experience of COBS. Any previous experience of retail broking or trading is useful, but more important is a comprehensive understanding of FCA and other appropriate regulations governing the conduct of retail stock broking or investment management.

This is a fantastic opportunity for a confident and polished individual with strong interpersonal and analytical skills to join a successful and well-established Stockbroker in a visible and influential compliance role.

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