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Compliance Monitoring Analyst

  • Location: London
  • Salary: £40-50,000
  • Job type: Contract/Temp
  • Job reference: PWH/168454
  • Sector: Banking , Interim
Job Description

Our client is a leading, international bank, looking to recruit a compliance monitoring analyst on a 12mth fixed-term contract basis.

 

You will deliver monitoring and reviews across the banking and private side capital markets businesses, applying the risk framework and applicable standards.

 

You will have compliance monitoring experience and be comfortable carrying out thematic monitoring reviews, ensuring that appropriate assurance is provided to senior management as to the compliance of the firm with its policies, procedures and regulatory requirements.

 

Key responsibilities:

  • Carry out reviews and monitoring work, with the aim of identifying any attempt by clients or members of staff of the firm to breach risk controls and regulatory requirements, such as: conduct rules, financial crime, market abuse, manipulation, or other breach of rules or regulations.

  • Complete the regular and ad-hoc tasks necessary to complete the reviews, monitoring, testing and/or monitoring work required under the department’s risk based testing programme. 

  • Assist with the planning and implementation of bespoke or future BAU or thematic (deep dive) testing and monitoring programmes; and update existing programmes.

  • Assist in the interpretation and analysis of technical business information or data (using basic to intermediate data and excel skills).

  • Assist in the creation and maintenance of documents and procedures to track all relevant surveillance processes.

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