Compliance Monitoring Analyst
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Job Type | Permanent Full Time |
Area | London, England |
Sector | Regulatory Compliance |
Start Date | |
Advertiser | Twenty 84 |
Job Ref | CMA - 1200 |
Job Views | 98 |
- Description
City based highly sophisticated Equities Trading House now requires a Compliance Monitoring Analyst, this is a fantastic opportunity to join a highly supportive compliance team in a great working environment. The role supports hybrid working and key responsibilities will be:
Assisting with the management and delivery of all aspects of compliance monitoring / compliance assurance
Conducting Compliance Monitoring reviews to ensure compliance with regulations and internal policies and controls
Determining the scope and testing approach for reviews
Preparing written reports for the Head of Compliance and relevant business stakeholders, including detailed findings of monitoring reviews and agreed remedial actions
Monitoring the progress and completion of remedial actions and preparing relevant management information
Providing compliance advice to business stakeholders
Requirements:
Compliance monitoring / compliance assurance experience OR controls testing / audit experience preferably from banking, investment management, market makers, wholesale, brokers, FX, or securities firms
Good report writing experience