Compliance monitoring

  • Salary: GBP45000 - GBP55000 per annum
  • Location: London, England, United Kingdom
  • Job Type: Full time
  • Company: JCW Search

Currently recruiting on behalf of a large Private Bank based in London for a Compliance Monitoring Analyst to join the business on an initial 12 month FTC basis. The candidate will be largely responsible for the timely and accurate reporting of MI related to the assesment and testing of the Banks control environment, and will report directly into the Head of Compliance monitoring.

Currently recruiting on behalf of a large Private Bank based in London for a Compliance Monitoring Analyst to join the business on an initial 12 month FTC basis. The candidate will be largely responsible for the timely and accurate reporting of MI related to the assesment and testing of the Banks control environment, and will report directly into the Head of Compliance monitoring.

Key Responsibilities;

  • Maintain a quality process for second line of defence compliance assurance supporting delivery of the annual compliance monitoring plan.
  • Lead in collating relevant action plan updates from stakeholders to create and deliver succinct and informative management information (MI) to senior management and committees.
  • Identify ongoing opportunities to optimise reporting processes and drive continuous improvement across the function in collaboration with stakeholders.
  • As part of thematic reviews and projects, identify, monitor, analyse and assess issues, complaints and incidents.
  • Review breaches registers, incident reports, complaint logs, and other appropriate records ahead of any monitoring to ensure trends are identified and covered in monitoring reviews.
  • Review the compliance manual, other manuals and internal policies to ensure, where relevant to activities monitored, these are up to date and fit for purpose and feedback any suggested improvements to the Head of Compliance Monitoring.
  • Assist the business in preparing for FCA, PRA and other external visits.

Key Skills;

  • Up to date knowledge and experience of UK financial services regulatory requirements.
  • Experience in delivering reports of audit/QA standard.
  • Experience working within Compliance or Internal Audit (essential) within the financial services industry (desirable)
  • An understanding of UK and European financial services regulation.
  • Knowledge and experience of banking, credit and investment products.
  • Expert user of MS Excel (essential - particularly graphs and pivot tables); Globus, CRIMS, Portfolio, LiquidMetrix, Bloomberg user knowledge is advantageous.
  • Risk Management, Regulatory Compliance & Audit Recruitment
  • Visit us at our website www.jcwresourcing.com
London, England, United Kingdom London England GB