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One of the UKs leading Investment Management firms in London is currently looking for a Compliance Monitoring Analyst to join their rapidly growing Compliance Monitoring team. This role will be responsible for assisting in the delivery of high quality compliance monitoring activities across the business.
As the Compliance Monitoring Analyst your main responsibilities will include:
Support reviews as/when required by the Compliance Monitoring Manager / Head of Compliance Monitoring & Assurance
Consult with the Compliance Advisory Teams and Risk teams in order to ensure that the selection, scope setting and approach to delivering reviews are planned and targeted effectively
Support review planning, taking into consideration regulatory requirements, breaches, complaints, Operational Risk MI and KPI information, as appropriate
Undertake testing; recording monitoring testing, findings and agreed actions using the compliance monitoring workflow tool
The successful candidate will have:
A good understanding of UK regulatory requirements is needed and experience of other international regulatory requirements would be desirable
You will ideally have a University degree (or equivalent) and relevant Compliance qualification(s) (e.g. International Compliance Association, Chartered Institute for Securities & Investment).
It is also desirable for you to have a relevant investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate)
You will have excellent written and oral communication skills and strong planning and organising skills, reflecting a proactive approach.
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