Senior Compliance Monitoring Analyst

Compliance Professionals; London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading securities firm in London is seeking a Senior Compliance Monitoring Analyst to enhance their compliance monitoring efforts. The ideal candidate will manage compliance reviews, identify risks, and communicate findings to management. Strong knowledge of relevant regulations and compliance practices in the financial services industry is essential.

Qualifications

• Experience in financial services compliance monitoring, ideally in securities or brokerage.
• Knowledge of regulations like COBS, CASS, MiFID II, and others.
• Experience in producing written reports.

Responsibilities

• Manage and deliver compliance monitoring activities.
• Conduct thorough compliance reviews and identify potential risks.
• Provide written reports to management and stakeholders.

Skills

Knowledge of audit style compliance monitoring

Strong communication skills

Ability to learn quickly and solve problems

Job description

THE COMPANY: Our client is a leading securities firm based in the City. They are looking to hire a Senior Compliance Monitoring Analyst for their team, this role will report into the Manager. THE RESPONSIBILITIES:

• Assist with the management and delivery of all aspects of compliance monitoring
• Determine the scope and testing approach for reviews
• Conduct thorough Compliance Monitoring reviews covering a range of activities across all business divisions.
• Identifying and analysing potential risks to the firm.
• Provide written reports for management and key business stakeholders to include details of findings and recommended actions
• Track progress of compliance monitoring against the annual plan and report to management
• Prepare management information for senior management and the Risk and Compliance Committee
• Ad-hoc duties as required

EXPERIENCE REQUIRED:

• Knowledge of audit style compliance monitoring in a financial services environment – ideally securities, brokerage or similar
• 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

For further information, please contact Natalie Eshelby