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Position: Compliance Monitoring Analyst
Reports to: Deputy Head of Compliance
Key Tasks & Areas of Responsibility (including, but not limited to)
- Ensure that monitoring and surveillance activities are undertaken according to agreed procedures and frameworks, making sure escalation processes are followed and all issues are escalated and closed out in a timely manner.
- Monitoring and surveillance activities will include (but are not limited to) the monitoring of electronic and voice communications, the resolution and potential escalation of automated trade surveillance alerts, conducting manual trade surveillance (deep dives).
- Scoping and execution of thematic reviews as part of the wider Compliance Monitoring Plan - including identifying internal control weaknesses as part of a gap analysis vs regulatory requirements, making reports on identified issues and working with the business to find solutions.
- Assist in establishing new or enhanced CMP that address changes to business structure to ensure that entities within the Market Securities Group remain within its regulatory requirements.
- Undertaking desk reviews and home visits to ensure that front-office personnel are compliant with both internal rules and external regulations. This will entail travel 1-2 times per month.
- Assisting with the review of policies and procedures and the maintenance of internal governance frameworks.
- Assist in regulatory or internal investigations as assigned by the (Deputy) Head of Compliance and perform and manage other assignments, from time to time in accordance with reasonable requests from the (Deputy) Head of Compliance.
- Maintenance of the compliance register / database and compliance records.
Skills and Resources
- Minimum of 2-3 years' experience, ideally from a Compliance monitoring background
- Strong analytical and investigative skills coupled with experience in thematic reviews as part of the wider CMP.
- Knowledge of UK/EU market abuse, market conduct and best execution practices
- Ability to find pragmatic solutions in a timely manner and ability to work to and within tight deadlines.
- Proactive person who is confident to work independently.
- Proficient with excel.
- Good understanding of financial products is a plus.