Compliance Monitoring Analyst

Compliance Monitoring analyst

A leading investment bank is looking for 4 x Compliance Monitoring Analysts to join their Global Compliance and Corporate Risk team. This team is entrusted with providing regulatory advice and assurance to senior management, boards, relevant committees, regulators and clients

The key responsibilities of the role include:
Understand and support the execution of the overall Compliance Assurance Program, including reporting on monitoring undertaken and issues identified;
Undertake monitoring to assess the adequacy and effectiveness of the measures, controls and procedures put in place by the UK businesses to address NT's compliance with its regulatory obligations;
Complete review planning, taking into consideration related regulatory requirements, developments, breaches, complaints and KPI information on the area under review;
Undertake fieldwork, clearly documenting findings and highlighting queries and issues to the relevant contact in the business;
Produce timely, accurate, concise and high quality reports;
Support the logging and tracking of issues identified during monitoring through to conclusion, including agreement with business unit management and rule breaches;
Regular communication with the Compliance Advisory teams who have the day to day relationship with the business units.
Develop and maintain effective relationships with internal stakeholders.

The successful candidate will benefit from having:
Knowledge of FCA handbooks and other relevant laws applicable to asset servicing, in particular CASS, COBS, COLL
Compliance monitoring experience and/or knowledge/experience Asset Servicing businesses would be preferred;
Strong organisational skills and ability to work to strict deadlines, balancing on-going job requirements with ad-hoc initiatives;
Ability to work on own initiative and work unsupervised;
Ability to analyse and interpret large volumes of data;
Excellent communication (verbal and written) and interpersonal skills.

The competencies that would be valuable for this role include:
Excellence in Execution;
Effective Communication;
Analytical Thinking;
Focused Client Relationships;
Time Management.