Senior Compliance Monitoring Analyst

THE COMPANY:

Our client is a leading securities firm based in the City.  They are looking to hire a Senior Compliance Monitoring Analyst for their team, this role will report into the Manager.

THE RESPONSIBILITIES:

• Assist with the management and delivery of all aspects of compliance monitoring
• Determine the scope and testing approach for reviews
• Conduct thorough Compliance Monitoring reviews covering a range of activities across all business divisions.
• Identifying and analysing potential risks to the firm.
• Provide written reports for management and key business stakeholders to include details of findings and recommended actions
• Track progress of compliance monitoring against the annual plan and report to management
• Prepare management information for senior management and the Risk and Compliance Committee
• Ad-hoc duties as required

EXPERIENCE REQUIRED:

• Knowledge of audit style compliance monitoring in a financial services environment – ideally securities, brokerage or similar
• Relevant regulatory knowledge including some of the following: COBS, CASS, SYSC, MAR, LSE and other rules, MiFID II, HMRC ISA Rules, JMLSG
• Ability to learn quickly and solve problems
• Strong communication skills
• Experience of producing written reports

For further information, please contact Natalie Eshelby