Compliance Monitoring Analyst

Stockbroking Asset Management Or PWM Compliance Monitoring Experience Required  

£60K - £75K + Bonus & Benefits Hybrid/Kent

Ref: 4008G

We have been appointed by our Client, a boutique Retail & Institutional Stockbroker, who are looking to recruit a Compliance Monitoring Analyst.  As part of a collegiate and supportive Compliance Team and reporting directly to the Head of Compliance, duties will include;

• Supporting the Head of Compliance in designing and delivering a compliance monitoring programme to provide assurance to the business in relation to regulatory compliance and conduct risk. 
• Promote a culture whereby the Consumer Duty principles and policies are diligently adhered to and observed.
• Responsibility for the design and delivery of assigned Regulatory and Conduct Monitoring assurance reviews.
• Undertaking checks to ensure that core controls are being followed, using system enquiries and reports, internal documentation and staff interviews to confirm that the firm is not exposed to undue risk.
• Producing high quality reports that clearly articulate the conclusions of the assurance activity including an accurate measurement of the level of any regulatory and conduct risk.
• Providing appropriate recommendations to the Head of Compliance based on the observations and findings of the monitoring activity. 
• Providing input to the design of the Compliance Monitoring Annual Plan, effectively analysing and evaluating the risks to the business to identify the areas where assurance is required. 
• Support the Head of Compliance with the implementation of compliance policies and the regulator's rules, establishing adequate in-house controls and compliance procedures.
• Assist the Head of Compliance in all areas of compliance including preparing for any regulatory changes, ongoing monitoring and any ad hoc compliance projects

The successful candidate must be a graduate or hold equivalent professional qualifications and must have gained solid Compliance Monitoring experience of COBS.  Any previous knowledge of Financial Crime monitoring processes (not CDD/KYC) useful but more important is a comprehensive understanding of FCA and other appropriate regulations governing the conduct of retail stock broking or investment management

This is a fantastic opportunity for a confident and polished individual with strong interpersonal and analytical skills to join a successful and well-established Stockbroker in a visible and influential compliance role. NB the Role is 3d pw in their Kent office and 2d pw WFH.