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Compliance Analyst

2 weeks ago

London, United Kingdom Pontoon Full time

**Job title**:Compliance Analyst **Location**:London **Duration**:3 months **The Role**: The Compliance Analyst assists the Compliance officer team, under close supervision, in activities that contribute to the independent compliance oversight of Front Line Unit ("FLU") and Control Function ("CF") performance and any related third party/vendorrelationships in alignment with the Compliance Risk Management ("CRM") Program and the Global Compliance Enterprise Policy ("GC Policy"). **Responsibilities**: As an individual contributor member of a FLU or CF compliance officer team, the Compliance Analyst promotes a culture of compliance and the identification, escalation and timely mitigation of compliance risks by assisting FLU or CF Compliance teams in anyof the following compliance activities & processes **Requirements**: Create and maintain a regulatory inventory. - Update relevant policies to ensure they reflect regulatory requirements for FLU/CF. - Contribute to compliance risk assessments. - Contribute to monitoring and testing coverage plans and related metrics. - Monitor and test the effectiveness of the front line unit and control function compliance risk controls for FLU/CF. - Identify, aggregate, report and escalate compliance risks, issues and control enhancements for FLU/CF. - Execute governance and management routines. - Identify compliance training needs and inspect FLU/CF and third party participation for FLU/CF. - Assist with preparations for regulatory exams and audits for FLU/CF. - Inspect that commitments made regarding actions in response to Matters Requiring Attention ("MRAs") and other actions are completed for FLU/CF. - Escalate regulatory relations concerns to Compliance Manager or Executive Pontoon is an employment consultancy and operates as an equal opportunities' employer.