Job Description:
This is an exciting opportunity to join a well-established firm operating in the investment management space who are looking for a Compliance Monitoring Analyst to deliver reviews within the Compliance Monitoring Programme. This includes oversight and challenge to the business, in support of the right customer outcomes.
The role will involve taking responsibility for the following;
*Conduct Compliance Monitoring Reviews within the Group Compliance Monitoring Plan to a high-quality standard.
*Undertake all aspects of the reviews including:
- Business intelligence.
- Scoping the activity.
- Review and interpret the relevant regulatory rules and produce a risk-based testing plan.
- Perform the field work for the review, including recording evidence of testing.
- Analyse potential issues and produce high quality draft and final reports.
- Agree management actions, and record, report and track through to completion.
*Accurately record time spent on monitoring activities to facilitate measurement of compliance monitoring resource.
*Promote a positive impression of Compliance along with a strong compliant culture.
*Assist with the production of management information for the Board and Committees.
*Update and maintain the suite of Compliance Monitoring documentation.
Key Requirements;
*Good knowledge of FCA handbook rules.
*At least 3 year’s regulatory compliance experience within an FCA regulated business.