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Analyst (Compliance Monitoring)

Information About This Job

Job Title: Analyst (Compliance Monitoring)
Contract Type: Permanent
Location: London
Industry:
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: about 1 month ago

Job Description

We are looking to hear from an experienced Compliance Monitoring professional to join the Compliance Monitoring and Assurance Team of a leading investment management firm as an Analyst. 

The Compliance team plays a critical role in keeping the firm and its clients on the right path, producing excellent customer outcomes and protecting the firm against regulatory and conduct risk. 

 

Key Responsibilities

  • Scope and conduct assigned thematic and focused reviews in a timely manner under the Compliance Monitoring Plan - to test and provide assurance on the business risk and control environment. 

  • Verify compliance with regulatory requirements and internal policies and procedures and document any potential gaps/deficiencies. 

  • Liaise with Risk Owners (senior business managers) to ensure that compliance monitoring findings are discussed and robust remedial action plans are agreed to mitigate them, with realistic timeframes for completion.

  • Produce well written and structured reports encapsulating the salient aspects of the review lifecycle for presentation to the Board and senior stakeholders. 

  • Record and track completion of agreed action items arising from thematic reviews.

  • Partner with Risk Management and Compliance Advisory to map review findings to risk assessments and advisory activity. 

  • Prepare reports capturing relevant Management Information (MI) for distribution to relevant governance and risk forums.

 

Skills & Experience

  • 2+ years of compliance monitoring experience, preferably acquired either within a financial advisory or wealth management firm or within commercial banking. 

  • Fluency in any one or more of these languages will be a distinct advantage – Danish, Swedish, Dutch, Italian, Spanish or French.

  • Experience of scoping and conducting thematic and focused reviews essential

  • Knowledge of the FCA Handbook, particularly COBS, SYSC, DISP, TC etc. and ESMA/EBA regulations such as MiFID II, GDPR, PRIIPS. 

  • A qualification in compliance or risk and/or Level 4 qualifications in Financial Planning will be advantageous. 

 

Key Competencies

  • A good team worker with the ability to build strong and trusted relationships. 

  • Hands-on attitude, with a flexible approach, enthusiasm and a keen aspiration to learn, actively contributing to develop the compliance culture within the firm, leading by example. 

  • Ability to influence individuals at all levels within a business environment, particularly senior stakeholders such as Heads of Business, VPs and Team Leaders.

  • Strong task management and prioritising skills, with the ability to work under pressure and meet tight deadlines.

  • Proficiency with Microsoft tools such as Excel, Word, Visio and Power Point is desirable. 

 

Company Benefits

In addition to a highly competitive salary, the firm is also offering a host of benefits, including;

  • 100% coverage of the supplemental medical and dental premiums for you and your qualified dependents*

  • 28 days annual leave, increasing to 30 after 5 years of service, with the ability to purchase up to 3 additional days

  • Annual Health Screening for you and your qualified dependents*

  • 9% company pension contribution with an additional company match up to 5%

  • Two pension contributions methods to choose from

  • Monthly gym subsidy 

  • Interest-free season ticket loan available for purchase upon six months of employment**

  • Cyclescheme programme

  • Voluntary travel insurance (winter and non-winter sports option)

  • A supportive, collaborative working environment 

  • Employee appreciation events  

  • Ongoing training and educational support 


 

Ref: | Published: 12 Jul 2019