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Compliance Monitoring Analyst

Posted 31 January by Sandringham Wood Recruitment Featured Ended

This Compliance Monitoring Analyst position, based in central Bristol, near a variety of shops, bars and restaurants, benefitting from easy access by bus and park and ride, will see you reporting into and working closely with the Chief Compliance Officer, Head of Compliance and other members of the compliance team.

You’ll act as a 2nd Line internal auditor and monitoring specialist with the ability to undertake a range of monitoring and assurance tests for the internal systems across the firm, within agreed timescales in a professional and cost effective manner.? You be able to identify risks to the business and articulate these in an appropriate manner, record for audit trail and work with teams for mitigation and actions.

The key focus for this role is to test for accuracy, monitor, and review, analyse and report on the firm’s ongoing performance against, and compliance with, established internal processes spanning systems, controls, operational and regulatory.

Salary on offer, for this position, is up to £45,000 with excellent benefits to include 25 days holiday plus public holidays, 4 x Death in Service, PMI and Income protection, Childcare vouchers, Cycle to work scheme, Gym subsidy and discretionary bonus scheme. Also, upon successful completion of your probationary period you’ll benefit from a 20% non-contributory pension contribution

As Compliance Monitoring Analyst, whilst not exhaustive, your day to day activities will include:

  • Engaging with the Corporate Compliance Program, helping the team to function as an independent and objective body that reviews and evaluates compliance issues of an ongoing basis, a thematic regulatory basis and a risk basis and report findings and concerns.
  • Helping to ensure that the business units and employees are in compliance with the rules and regulations of regulatory bodies, that company policies and procedures are being followed, and that behaviour in the business meets the company’s Standards of Conduct
  • Acting as a channel of communication to receive and direct compliance issues to appropriate resources for investigation and resolution, particularly focused on areas of monitoring.
  • Helping to develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct
  • Helping to develop and periodically review and update Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees
  • Collaborating with other departments (e.g., Risk Management, Compliance Managers, Operations, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution
  • Identifying potential areas of compliance vulnerability and risk and helping to develop, implement, manage and coordinate corrective action plans for the resolution of problematic issues, as well as providing general guidance on how to avoid or deal with similar situations in the future
  • Providing Scope, TOR and follow up reports on monitoring activity on a regular basis, and as directed or requested, to keep the Chief Compliance Officer and senior management informed of the operation and progress of compliance monitoring efforts and the annual compliance plan
  • Undertake review, analysis and relevant steps to ensure company compliance with all legislation and provide training and staff guidance as appropriate along with fulfilling all the MLRO obligations for the business.

You’ll have:

  • Proven experience of operating effectively as an influential, competent and business enabling Manager in a regulated environment
  • Experience of operating within a company that has experienced rapid growth
  • Expert knowledge of relevant FCA requirements and regulatory framework, along with an ability to find, analyse and apply the relevant details as and when needed
  • Previous experience of developing and applying compliance policy, monitoring and writing of appropriate Terms of Reference and setting scope along with completing the monitoring and writing a report of findings that are RAG rated as appropriate to severity

Company information:

An award-winning business who offer sophisticated investment management services via an online portal to the IFA/Wealth Management profession. Named as one of 2015’s top 50 financial technology companies in Europe, with over £2billion in assets under management and more than 1000 adviser firms using their services. A dynamic and growing business offering an excellent working environment/culture coupled with study support and good career progression opportunities.

Next steps:

If you’d like to find out more, please apply now or call Jess Wood for a confidential chat on 0117 962-5005.

Required skills

  • Analyse
  • Audit
  • Compliance Monitoring
  • Reviews

Reference: 34366855

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