Compliance Monitoring Analyst / Stockbrokers / Hybrid / Tunbridge Wells / Up to £80,000 + bonusOverview:My client an established highly reputable stockbrokers are seeking a Compliance Monitoring Analyst. The role is to ensure the continious designing and delivering a compliance monitoring programme to provide assurance to the business in relation to regulatory compliance and conduct risk, aswell as ensuring fair and consistent outcomes for customers. Role & Responsibilities:
1. Ensuring Regulatory and Conduct Monitoring independently assesses how the firm consistently delivers fair customer outcomes and meets regulatory requirements, to encourage safe growth and protection of the firm from regulatory and/or conduct risks associated with business activity.
2. Undertake checks to ensure that core controls are being followed, using system enquiries and reports, internal documentation and staff interviews to confirm that the firm is not exposed to undue risk.
3. Produce high quality reports that clearly articulate the conclusions of the assurance activity including an accurate measurement of the level of any regulatory and conduct risk.
4. Provide appropriate recommendations to the Head of Compliance based on the observations and findings of the monitoring activity.
5. Provide input to the design of the Compliance Monitoring Annual Plan, effectively analysing and evaluating the risks to t...