Compliance Monitoring Analyst

2 weeks ago

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

We are seeking a highly skilled Compliance Monitoring Analyst to join our team at a boutique Retail & Institutional Stockbroker. As a key member of the Compliance Team, you will report directly to the Head of Compliance and 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 of compliance and conduct risk management within the organization.
  • Design and deliver regulatory and conduct monitoring assurance reviews to ensure the firm is not exposed to undue risk.
  • Undertake checks to ensure core controls are being followed, using system enquiries and reports, internal documentation and staff interviews to confirm 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 recommendations to the Head of Compliance based on the observations and findings of the monitoring activity.
  • Support the Head of Compliance in 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 regulatory changes, ongoing monitoring, and ad-hoc compliance projects.

The successful candidate will be a graduate with at least 2 years of compliance monitoring experience, preferably in COBS. A comprehensive understanding of FCA and other relevant regulations governing the conduct of retail stock broking or investment management is essential. 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.

This is a hybrid role, with 3 days per week in our Kent office and 2 days per week working from home. If you have the skills and experience required for this role, please submit your application, including your contact details and a brief overview of your experience and qualifications.

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