Compliance Risk Analyst
2 days ago
Job Title: Compliance Risk Analyst
Job Summary:
We are seeking a highly skilled Compliance Risk Analyst to join our team at Interactive Brokers. As a Compliance Risk Analyst, you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.
Key Responsibilities:
- Assist in the design, planning, and execution of the firm's periodic compliance risk assessment.
- Execute and assist in the optimization of the firm's monitoring and testing program in accordance with industry standards and expectations of management, auditors, and regulatory bodies.
- Design queries, testing sheets, and conduct analysis of processes' compliance to measure and provide clear observations of the risk factors and controls.
- Effectively and clearly organize and document information arising from the execution of the monitoring and testing program targeted at different stakeholders.
- Identify changes and enhancements to the program as required.
- Assist with the maintenance of Compliance Policies and Procedures framework, ensuring all artefacts are updated on a regular basis.
- Assist with thematic reviews of the firm's different business compliance areas.
- Monitor changes to the business and areas of regulatory change and work with colleagues to assess the impact on the Compliance testing and monitoring plan and the business.
- Support others in the General Compliance team as required.
Requirements:
- Bachelor's degree or equivalent.
- Solid experience (ideally 2 years +) as a business analyst, audit, compliance, risk, or other professional, with relevant experience in conducting system or program testing and/or thematic reviews.
- Knowledge of the applicable regulatory framework, including Conduct Risk, Consumer Duty, COBS, DISP, SYSC, PROD, and other relevant regulatory requirements.
- Excellent communication and written skills, particularly the ability to interpret and transform information into effective and clear language aimed at target audience.
- Significant interpersonal skills and the ability to communicate effectively with key stakeholders inside and outside the firm to build strong relationships and achieve results.
- High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions, strong Excel skills.
- Ability to work independently and manage multiple, deadline-driven priorities in a fast-paced work environment with strong attention to detail.
- Outstanding analytical, problem-solving, organization, and follow-up skills.
- Ability to work under pressure, formulate and articulate solutions, and defend assumptions.
- Excellent time management skills combined with the ability to work on your own initiative and exercise judgment with discretion.
- Versatile as the needs and demands of the team evolve.
What We Offer:
- Career support and development.
- Salary commensurate with experience.
- Performance-based discretionary cash bonus scheme.
- Discretionary stock grant.
- Group Life Assurance cover.
- Group Income Protection.
- Occupation pension scheme based on Gross earnings.
- Hybrid working model.
- Above statutory annual leave, increasing with service.
- Daily company-paid lunch and healthy snack options throughout the day.
- Access to Private Medical Insurance, Dental Plan, and/or Health Cash Plan.
- Corporate events.
- Travel season ticket loans.
- Cycle to work scheme.
-
Compliance Risk Analyst
3 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob OverviewCompliance Professionals is seeking a highly skilled Compliance Analyst to join our team. As a Compliance Analyst, you will play a critical role in ensuring the company's compliance with regulatory requirements and industry standards.Key Responsibilities:Manage and oversee front office systems to ensure compliance with regulatory...
-
Compliance Risk Analyst
3 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob OverviewCompliance Professionals is seeking a highly skilled Compliance Analyst to join our team. As a Compliance Analyst, you will play a critical role in ensuring the company's compliance with regulatory requirements and industry standards.Key Responsibilities:Manage and oversee front office systems to ensure compliance with regulatory...
-
Compliance Risk Analyst
3 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompany OverviewCompliance Professionals is a leading provider of compliance services to the financial industry.Job SummaryWe are seeking a highly skilled Compliance Analyst to join our team. The successful candidate will be responsible for ensuring that our company's compliance with regulatory requirements is maintained at the highest level.Key...
-
Compliance Risk Analyst
4 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompany OverviewCompliance Professionals is a leading provider of compliance services to the financial industry.Job SummaryWe are seeking a highly skilled Compliance Analyst to join our team. The successful candidate will be responsible for ensuring that our company's compliance with regulatory requirements is maintained at the highest level.Key...
-
Risk and Compliance Analyst
1 week ago
London, Greater London, United Kingdom Paritas Recruitment - Risk Full timeAbout the Role:We are seeking a highly skilled Operational Risk Analyst to join our team at Paritas Recruitment - Risk. As an Operational Risk Analyst, you will play a critical role in identifying, assessing, and mitigating operational risks across our organization.Key Responsibilities:Conduct Risk and Control Self-Assessments (RCSAs) to identify and assess...
-
Risk and Compliance Analyst
6 days ago
London, Greater London, United Kingdom Paritas Recruitment - Risk Full timeAbout the Role:We are seeking a highly skilled Operational Risk Analyst to join our team at Paritas Recruitment - Risk. As an Operational Risk Analyst, you will play a critical role in identifying, assessing, and mitigating operational risks across our organization.Key Responsibilities:Conduct Risk and Control Self-Assessments (RCSAs) to identify and assess...
-
Compliance Risk Analyst
4 weeks ago
London, Greater London, United Kingdom Coforge U.K. Ltd Full timeJob DescriptionRole: Compliance Risk AnalystCompany: Coforge U.K. LtdJob type: PermanentJob Overview:A Compliance Risk Analyst plays a crucial role in ensuring that financial institutions adhere to anti-money laundering (AML) regulations and know your customer (KYC) requirements.Key Responsibilities:- Conducting thorough due diligence on clients to evaluate...
-
Compliance Risk Analyst
4 weeks ago
London, Greater London, United Kingdom Coforge U.K. Ltd Full timeJob DescriptionRole: Compliance Risk AnalystCompany: Coforge U.K. LtdJob type: PermanentJob Overview:A Compliance Risk Analyst plays a crucial role in ensuring that financial institutions adhere to anti-money laundering (AML) regulations and know your customer (KYC) requirements.Key Responsibilities:- Conducting thorough due diligence on clients to evaluate...
-
Compliance Risk Manager
7 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAbout the RoleA leading compliance firm, AJ FOX COMPLIANCE, is seeking a highly skilled Senior Conflicts Analyst to join their team in London. The primary objective of this position is to oversee conflicts analysis, guide junior staff, and contribute to the development of new business intake policies.This role is ideal for an experienced professional with a...
-
Compliance Risk Management Specialist
11 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Description**Compliance Monitoring Analyst**We are seeking a highly skilled Compliance Monitoring Analyst to join our team at Compliance Professionals. As a key member of our compliance team, you will play a critical role in ensuring our firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Assist in managing...
-
Compliance Risk Management Specialist
9 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Description**Compliance Monitoring Analyst**We are seeking a highly skilled Compliance Monitoring Analyst to join our team at Compliance Professionals. As a key member of our compliance team, you will play a critical role in ensuring our firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Assist in managing...
-
Compliance Risk Management Specialist
7 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Description**Compliance Monitoring Analyst**We are seeking a highly skilled Compliance Monitoring Analyst to join our team at Compliance Professionals. As a key member of our compliance team, you will play a critical role in ensuring that our client's investment management activities are conducted in accordance with relevant regulatory requirements.Key...
-
Compliance Risk Management Specialist
7 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Description**Compliance Monitoring Analyst**We are seeking a highly skilled Compliance Monitoring Analyst to join our team at Compliance Professionals. As a key member of our compliance team, you will play a critical role in ensuring that our client's investment management activities are conducted in accordance with relevant regulatory requirements.Key...
-
Compliance Risk Management Specialist
4 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Description**Compliance Monitoring Analyst**We are seeking a highly skilled Compliance Monitoring Analyst to join our team at Compliance Professionals. As a key member of our compliance team, you will play a critical role in ensuring our firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Assist in managing...
-
Compliance Risk Management Specialist
4 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Description**Compliance Monitoring Analyst**We are seeking a highly skilled Compliance Monitoring Analyst to join our team at Compliance Professionals. As a key member of our compliance team, you will play a critical role in ensuring our firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Assist in managing...
-
Compliance Risk Manager
7 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob SummaryAJ FOX COMPLIANCE is seeking a highly motivated and experienced Senior Compliance Analyst to join their team in London. This role will support the conflicts team, working closely with senior staff and other departments to maintain a high standard of service for clients.The ideal candidate will have a genuine interest in risk and compliance, with...
-
Risk and Compliance Analyst
2 days ago
London, Greater London, United Kingdom Crédit Agricole CIB Full timeJob DescriptionBusiness Type: Financial ServicesJob Title: Risk and Compliance AnalystJob Summary:The Risk and Compliance Analyst will be responsible for maintaining the Operational Risk Framework and executing the control plan. This includes monitoring and reporting operational incidents, monitoring operational risks arising from outsourced activities, and...
-
Risk and Compliance Analyst
2 days ago
London, Greater London, United Kingdom Crédit Agricole CIB Full timeJob DescriptionBusiness Type: Financial ServicesJob Title: Risk and Compliance AnalystJob Summary:The Risk and Compliance Analyst will be responsible for maintaining the Operational Risk Framework and executing the control plan. This includes monitoring and reporting operational incidents, monitoring operational risks arising from outsourced activities, and...
-
Compliance Risk Analyst
4 days ago
London, Greater London, United Kingdom CityGrad Full time**About CityGrad**CityGrad is a leading financial services company that is passionate about innovation and giving opportunities to young people. We are dedicated to providing a service that our clients place real value on, while also caring about employee satisfaction.**Job Summary**We are seeking a highly motivated and detail-oriented Compliance Risk...
-
Compliance Risk Analyst
4 days ago
London, Greater London, United Kingdom CityGrad Full time**About CityGrad**CityGrad is a leading financial services company that is passionate about innovation and giving opportunities to young people. We are dedicated to providing a service that our clients place real value on, while also caring about employee satisfaction.**Job Summary**We are seeking a highly motivated and detail-oriented Compliance Risk...