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Compliance Monitoring Analyst - City, London, United Kingdom, EC1A2

£45-50k

City based highly sophisticated market maker that utilises their unique technology to create a range of highly flexible and innovative services for their clients now requires a Compliance Monitoring Analyst, this is a fantastic opportunity to join a highly supportive compliance team in a great working environment. Key responsibilities will be:

  • Assisting with the management and delivery of all aspects of compliance monitoring / compliance assurance
  • Conducting Compliance Monitoring reviews to ensure compliance with regulations and internal control standards
  • Determining the scope and testing approach for reviews
  • Preparing written reports for the Head of Compliance and relevant business stakeholders, including detailed findings of monitoring reviews and agreed remedial actions
  • Monitoring the progress and completion of remedial actions and preparing relevant management information
  • Providing compliance advice to business stakeholders

Requirements

  • Compliance monitoring / compliance assurance / compliance testing experience preferably from banking, investment management, market maker, wholesale, brokers, FX, or securities firms and now looking to take your next step
  • Good report writing experience