Compliance Monitoring Analyst

  • Location:

    City of London, London

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    £40000 - £50000 per annum

  • Contact:

    Balquis Hussein

  • Job ref:

    PR/212061_1657709169

  • Published:

    26 days ago

  • Expiry date:

    2022-08-12

  • Startdate:

    ASAP

A UK based Investment Management firm is looking to recruit a Compliance Monitoring Analyst to join their compliance department.

You will be responsible for the following:

  • Delivering due diligence reviews and reports in line with the COT schedule and to a high standard through a combination of desk based and onsite / remote visits.
  • Providing guidance to the delegates to ensure they are operating in a manner consistent with the regulations, industry standards and our expectations.
  • Identifying areas where regulatory obligations and standards are not being met and communicating these findings to the delegates through written reports.
  • Agreeing actions to remedy any issues identified and tracking those issues through to completion. Reporting on any that become overdue and/or instances of non-completion.
  • Preparing and circulating the management information to the governance committees on the performance of the delegates in line with the review schedule and to a high-quality standard.
  • Assisting with the review and development of the oversight framework through maintenance of its tools, policies, processes, and procedure guides, including key review documentation.
  • Promoting a strong compliant culture within the business.
  • Undertaking additional ad-hoc projects / thematic reviews at the request of the Compliance Oversight Manager.

Experience Required:

  • Good knowledge of FCA handbook rules / regulatory environment in the UK financial services sector.
  • Knowledge and understanding of fund administration would be advantageous.
  • Knowledge of key relevant regulatory and statutory requirements, in particular COLL/COBS/FUND.

For further information about this position please apply.

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