Senior Compliance Monitoring Analyst

Goodman Masson
London, United Kingdom
GBP55000 - GBP70000 per annum
14 Jan 2023
03 Feb 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Responsibilities include:
  • Assisting with the management and delivery of all aspects of the Compliance Monitoring Plan
  • Conducting thorough Compliance Monitoring reviews, covering a range of activities, across the business platforms, to ensure compliance with all applicable regulations and internal standards
  • Identifying and analysing potential risks to the firm and preparing written reports for the Head of Compliance and relevant business stakeholders, including details of findings and agreed remedial actions
  • Monitor the progress and completion of remedial actions as a result of Compliance Monitoring review findings
  • Prepare management information for senior management and the Risk and Compliance Committee
  • Providing general Compliance advice to business stakeholders where required
  • Ad-hoc duties as required

Skills desired include:
  • Previous experience in Compliance Monitoring or Internal Auditing
  • Experience of Control Room/Control Testing
  • Knowledge and experience of a similar wholesale, retail or professional services firm
  • 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

If interested, please apply below. Alternatively, email your CV to

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.
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