Compliance Monitoring Analyst – Kent (5 days in the office)

THE COMPANY:

Our client is a highly regarded financial services firm, offering a wide range of stockbroking and administration services. Their knowledgeable team offers tailored investment strategies that align with individual goals.

THE RESPONSIBILITIES:

• Ensuring Regulatory and Conduct Monitoring independently assesses how the firm consistently delivers fair customer outcomes and meets regulatory requirements, to encourage safe growth and protection of the firm from regulatory and/or conduct risks associated with business activity.
• 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 analysing and evaluating the risks to the business to identify the areas where assurance is required.
• Actively maintain and update technical and regulatory knowledge to ensure ongoing compliance of processes and procedures for the company.
• Promote a culture whereby the Consumer Duty principles and policies are diligently adhered to and observed. Provide guidance and training to the team to ensure they pro-actively act to deliver good outcomes for customers. Challenge the team and individuals to ensure their actions are compatible with delivering good customer outcomes and provide opportunity for feedback to identify and mitigate where good customer outcomes are not being delivered.

EXPERIENCE REQUIRED:

• Proven experience in either compliance or financial industry with a good understanding of FCA & regulations governing investment/stockbroking business.
• Proven knowledge and experience of AML/Audit processes.
• Be able to demonstrate an ability to interpret financial regulations and regulatory requirements, and assess operational Compliance with a focus on financial crime risk.
• Experience/awareness of risk and controls procedures
• Excellent written and verbal communication skills
• Able to work quickly and accurately under pressure

For further information please contact Duncan Jeffery