Compliance Monitoring Analyst - Docklands

Posted 23 June 2021
Salary£35000.00 - £45000.00 per annum + Many, many benefits
LocationLondon, Greater London, England
Job type Permanent
DisciplineFinancial Services
Reference19942
Contact NameMartin Warner

Job description

My client is currently seeking to recruit a very strong Compliance Analyst who will be responsible for the following areas

Reporting to the Head of Compliance, the Compliance Analyst will work within the Risk and Compliance function. The primary focus will be on carrying out business assurance activity and providing general compliance support on a company wide basis.

Key responsibilities and accountabilities

Supporting the delivery of a risk-based second line compliance monitoring plan;
Conducting appropriate call monitoring with a focus on customer outcomes;

Preparing reports of findings that arise from monitoring reviews
Working with key stakeholders to assist with the development of remediation plans;

Monitoring/reporting on the status of implementation of remedial actions;
Providing appropriate reports or information to the Head of Compliance and assisting with the preparation of any reports or papers as required;
Undertaking reviews of financial promotions and providing guidance where required;
Drafting the preparation of regulatory returns and other regulatory notifications/applications;

Contributing to the development and ongoing maintenance of policies and procedures Identifying areas of weakness
Making suggestions for improvement
Drafting or making amendments and supporting implementation of new or revised policies;

Carrying out regulatory horizon scanning
Preparation of training materials and delivery of training to the wider business on compliance matters.

To be considered for this busy and exciting role you will need to show experience in the following areas

Experience in a compliance assurance role;
Demonstrable understanding of regulations
Good knowledge of recent regulatory developments and implementation timescales;
Attention to detail and ability to draft reports, presentations or papers;
Strong IT skills with the appropriate proficiency in Microsoft Excel, PowerPoint and Word.

Please send your CV to me, Martin Warner, and I will get back to you as soon as possible