Posted byRecruiter
Ref: 4008G2
£60K - £75K + Bonus & Benefits Hybrid/Kent
We have been appointed by our Client, a boutique Retail & Institutional Stockbroker, who are looking to recruit apliance Monitoring Analyst. As part of a collegiate and supportivepliance Team and reporting directly to the Head ofpliance, duties will include;
1. Supporting the Head ofpliance in designing and delivering apliance monitoring programme to provide assurance to the business in relation to regulatorypliance and conduct risk.
2. Promote a culture whereby the Consumer Duty principles and policies are diligently adhered to and observed.
3. Responsibility for the design and delivery of assigned Regulatory and Conduct Monitoring assurance reviews.
4. Undertaking 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.
5. Producing 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.
6. Providing appropriate rmendations to the Head ofpliance based on the observations and findings of the monitoring activity.
7. Providing input to the design of thepliance Monitoring Annual Plan, effectively analysing and evaluating the risks to the business to identify the areas where assurance is required.
8. Support the Head ofpliance with the implementation ofpliance policies and the regulator's rules, establishing adequate in-house controls andpliance procedures.
9. Assist the Head ofpliance in all areas ofpliance including preparing for any regulatory changes, ongoing monitoring and any ad hocpliance projects.
The successful candidate must be a graduate or hold equivalent professional qualifications and must have gained solidpliance Monitoring experience of COBS. Any previous knowledge of Financial Crime monitoring processes (not CDD/KYC) useful but more important is aprehensive understanding of FCA and other appropriate regulationserning the conduct of retail stock broking or investment management
This is a fantastic opportunity for a confident and polished individual with strong interpersonal and analytical skills to join a successful and well-established Stockbroker in a visible and influentialpliance role. NB the Role is 3d pw in their Kent office and 2d pw WFH.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.