Compliance Monitoring Analyst
As the Compliance Monitoring Analyst, you will be expected to be an ambassador for the area and promote the compliance culture within the company and help to assist the company in maintaining its compliance with regulatory obligations. This will involve interaction with senior management as well as being expected to be visible to people with other business areas.
Some of the duties of the Compliance Monitoring Analyst:
- To undertake detailed Compliance Monitoring Reviews on the regulated activities of the Company and, in addition, carry out thematic reviews across the Company, identifying and recording issues arising from such work and pursuing them to resolution.
- To complete all related monitoring activity documentation including scoping document, terms of reference, draft and final monitoring reports and test scripts, all to a high standard.
- To ensure the Risk System is accurately and timeously maintained in relation to completed Monitoring Reviews.
- To ensure the actions agreed with management to remediate issues identified during monitoring reviews are followed up and appropriate evidence is obtained to give assurance that suitable controls have been applied.
- Regularly communicating on compliance with the Company and in particular with the Operational teams.
- Promoting the requirement for Company employees to follow Compliance Policies and Procedures.
The background of the Compliance Monitoring Analyst:
- Background within compliance monitoring is essential
- You must have worked within a stream of financial services previously in a similar role
- Proven skills in producing and presenting compliance monitoring reports of an exceptional standard to senior management.
- Knowledge of Transfer Agency would be highly advantageous