Compliance Analyst

General responsibilities include:

*Assisting with monitoring of business, systems and controls as required.
*Performing reviews of compliance with specific regulations, as directed by the Senior Managing Director, Executive Director or Director of Compliance. The job holder has a key role in identifying problems and potential weaknesses and developing recommendations for management.
*Dealing with general regulatory queries from staff (where appropriate, discussing the issues with other department members before responding).
*Providing general assistance and support to the department.

Specific responsibilities include:

*Reviewing and investigating alerts generated by the automated transaction monitoring system (TransWatch) for potentially inappropriate transactions.
*Reviewing a risk-based sample of the electronic communications flagged by the automated communications monitoring system (Compliance Accelerator) for potential misuse of confidential/inside information and other inappropriate communications.
*Maintaining the restricted dealing list (in TransWatch) and watch list (in TransWatch and Compliance Accelerator) to ensure they are kept up to date, including undertaking conflicts of interest checks.
*Maintaining the list of Bloomberg e-mail addresses monitored by Compliance Accelerator.
*Assisting the MLRO in maintaining the sanctions monitoring system (SafeWatch) and reviewing potential sanctions breaches reported.
*Assisting the MLRO in reviewing higher risk accounts referred to Compliance by Client On-boarding (new and existing accounts).
*Dealing with queries on client categorisation.
*Reviewing and coordinating the bank's response to terms of business and other general queries from clients.
*Reviewing and subject to appropriate conflicts checks, approving personal account dealing requests from staff.
*Reviewing applications by new staff to perform FCA controlled functions and supporting documentations prior to submission to the FCA.
*Reporting short sell positions held by the Bank in instruments covered by the European Short Selling Regulation to the Bank.

Allegis Group Limited and Aston Carter Limited operate Employment Businesses and Agencies and are companies within the Allegis Group Inc. group of companies, the fourth largest staffing company in the world, (collectively referred to as the "Allegis Group"). TEKsystems and Aerotek are divisions of Allegis Group Limited. Applicant data will be treated in accordance with the Allegis Group's Privacy Notice. By submitting personal data to any company or division within the Allegis Group, the applicant is providing explicit consent to the use of such data by the Allegis Group and to the transfer of such data to and from the Allegis Group companies within the UK, Europe and outside the European Economic Area in connection with the fulfilment of the applicant's voluntary requests, and the fulfilment of other job opportunities that match the applicant's profile, and confirms that they may be contacted about such job opportunities.