Investment Bank - Compliance Senior Analyst - Thematic Monitoring

Role and Responsibilities:

Conduct thematic monitoring activities to assess and analyse potential compliance risks across various business lines and operations.
Collaborate with cross-functional teams, including legal, risk, and business units, to design and implement effective thematic monitoring programs.
Develop and maintain a comprehensive understanding of relevant laws, regulations, and industry guidelines to ensure compliance.
Identify emerging trends, regulatory changes, and industry developments to proactively assess their impact on the bank's compliance program.
Analyse and interpret complex regulatory requirements, internal policies, and procedures, and provide guidance to stakeholders.
Prepare and present reports on thematic monitoring findings, highlighting potential compliance gaps and recommending appropriate remedial actions.
Collaborate with internal and external auditors to support regulatory inspections and audits.

Qualifications and Requirements:

Proven experience in compliance, risk management, or audit functions within the financial services industry, preferably in an investment banking environment.
In-depth knowledge of relevant regulations FCA, EU, etc
Strong analytical skills with the ability to identify and assess potential compliance risks, and propose effective solutions.
Excellent communication skills, both written and verbal, with the ability to articulate complex concepts clearly and concisely.
Strong attention to detail and the ability to handle multiple tasks simultaneously in a fast-paced environment.
Demonstrated ability to collaborate effectively with cross-functional teams and build strong working relationships.

For details please get in touch chris.roots@investigo.co.uk

Send job

Sign in to create job alerts

Sign in or create an account to start creating job alerts and receive personalised job recommendations straight to your inbox.