Compliance Analyst

Optimus E2E Ltd; London; On-site; GBP 40,000 - 60,000; Full time

Job summary

An established company in London seeks a Compliance Monitoring Specialist to support regulatory functions and manage compliance reviews. The role entails conducting comprehensive reviews, preparing management reports, and ensuring adherence to regulations. Ideal candidates will have prior experience in compliance monitoring, strong communication abilities, and a commitment to continuous professional development.

Qualifications

• Prior compliance monitoring experience within wealth management.
• Ability to manage multiple tasks under pressure.
• Attention to detail and ability to interpret regulations.

Responsibilities

• Assist with the management and delivery of all aspects of compliance monitoring.
• Conduct thorough Compliance Monitoring reviews across all business areas.
• Provide written reports and track progress against the annual plan.

Skills

Strong work ethic

Organisational capabilities

Problem solving

Attention to detail

Communication skills

Knowledge of regulations

Job description

This position will provide high quality compliance monitoring support to the businesses regulated entities undertaking monitoring functions, management information reporting, some advisory support and carrying on ad hoc Compliance projects. You should preferably have prior compliance monitoring experience within the wealth management space as well as strong communication skills.

Responsibilities:

• Assist with the management and delivery of all aspects of compliance monitoring
• Determine the scope and testing approach for reviews
• Conduct thorough Compliance Monitoring reviews covering a range of activities across all business areas. (Specifically including discretionary investment management, investment restrictions, and advice mandates.)
• Provide written reports for management and key business stakeholders to include details of findings and recommended actions
• Track progress of compliance monitoring against the annual plan and report to management
• Prepare management information for senior management and relevant committees
• Ad-hoc duties as required

Skills

• Strong work ethic with a commitment to continuous personal development
• Excellent organisational and time management capabilities, able to manage multiple tasks and tight deadlines under pressure
• Strong and proven problem solving and reporting skills
• Attention to detail and able to interpret regulations and apply them
• Strong communication and interpersonal skills
• Knowledge of relevant regulations