Compliance Monitoring Analyst

Role & Responsibilities

• Assist with the timely completion of the company's Compliance Monitoring Programme including regular monitoring and ad hoc thematic reviews.
• Assist with the ongoing analysis of the impact and implementation of new regulatory rules and guidelines to ensure that relevant changes to regulations are incorporated into the monitoring programme
• Assist with maintaining up to date monitoring procedures.
• Assist in the identification, escalation, documentation and resolution of Compliance actions, errors and breaches.
• Assist the Compliance Monitoring Manager with the preparation of MI and reports.
• Assist with internal audit information gathering and internal tracking of remedial actions.
• Performing secretarial duties for in-house committees as necessary.
• Research connected with new products or projects.

Experience & Qualifications

• Experience of working in Compliance Monitoring or Audit in the finance industry, preferably asset management
• Good knowledge of the FCA handbook (e.g., COBS, COLL and/or CASS rules)
• A relevant compliance qualification and Bloomerg AIM experience would be advantageous, but is not essential.

Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feedback on all applications; only successful candidates will be contacted.