Compliance Monitoring Analyst

2022-09-13 13:34:042022-10-10Twenty84
Job TypePermanent Full Time
AreaLondon, EnglandLondonEngland
SectorRegulatory Compliance
Start Date
AdvertiserTwenty84
Job RefCMA - 1200
Job Views67
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
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