Compliance Monitoring Analyst
Our client has a fantastic opportunity for an experienced Compliance Monitoring Analyst to join their new team working in the London office to undertake regular monitoring activities, ‘deep-dive’ thematic reviews and office audits to ensure compliance with regulatory requirements of the UK regulated entities.
Using your compliance monitoring / auditing experience, you will be responsible for analysing and recording findings, identifying remedial actions and track when actions have been completed. On a broader remit, this is an opportunity to be part of a new team and help to develop both your own growth but also support the development of the team.
The role will require liaison with internal stakeholders to discuss any findings and confirm necessary timescales of agreed actions.
This role requires a meticulous and methodical candidate with an understanding of regulatory frameworks, FCA rules and best practice, within an investment management environment e.g. discretionary investment management, fund management
The role will include preparing reports and management information for the team and for various boards and committees as appropriate, report writing skills would be advantageous.
You will be accustomed to working to tight deadlines and have a sound knowledge of interpreting rules and identifying gaps in data and issues that need attention. The ideal candidate will be pragmatic, professional and well organised, with the ability to build effective relationships quickly.