Location: London/ Hybrid
Salary: £75,000+ bonus
About the role
The Senior Compliance Analyst - Monitoring will deliver compliance monitoring activities which provide quality assurance on business adherence to relevant legislation, regulation, internal policies / procedures / processes, and industry standards, by conducting regular assessments, identifying potential compliance risks, and proposing corrective actions to maintain ongoing compliance across all business operations.
They will assist the Group Compliance Team in maintaining a robust Compliance Framework which actively identifies, monitors and reports on the management of significant regulatory risks.
Responsibilities:
- In conjunction with relevant stakeholders, the creation and delivery of the Annual Compliance Monitoring Plan, via a combination of Focused, Thematic, and Awareness type quality assurance reviews.
- Contributing to the evolution of the Compliance Universe, including the ongoing development of key risk & performance metrics.
- Regulatory liaison strategy in conjunction with Regional Governance Resource, to foster a culture of open and transparent communication.
- Delivering bespoke compliance sponsored workshops and training programs to enhance business awareness of key legislative & regulatory matters.
- Contributing to delivery of compliance advisory services as part of BAU.
- Assisting in the ongoing maintenance of Compliance owned Policies, Processes, and Procedures across all global entities.
- In conjunction with other Governance stakeholders, the ongoing development of the Compliance Business Plan, taking account of local regulatory developments and emerging compliance risks.
- Monitor activities of the business against internal and external requirements, reporting MI as necessary to ensure effective oversight.
- Develop and maintain relationships across all areas of business operations to promote the embedding of the evolving compliance culture, in keeping with all applicable legislative 7 regulatory requirements.
- Ad hoc project and transactional work
The successful candidate will be able to demonstrate the following:
- Sound understanding of UK legislation & regulation
- Ability to create & deliver a Compliance Monitoring Plan
- In-depth knowledge of the key elements of a robust and effective Compliance Universe model
- Excellent writing & presentation skills
- Proactive self-starter who shows initiative and is always willing to take on more
- Confident in liaising with stakeholders in a constructive way, giving commercially attuned advice
- Attention to detail with a high degree of accuracy in work product
- Collaborative team worker
- Willingness to help innovate and drive change where required
- Ability to work well under pressure and unphased by competing priorities, deadlines and volumes of work