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 #J-18808-Ljbffr