Compliance Analyst - Group Compliance

Reporting directly to the Group Compliance Monitoring Team Manager, this role within Group Compliance, is specifically intended to support the Group Compliance second line monitoring activities and monitoring management reporting.

The key aspects of this role are:-

• the delivery of assigned monitoring reviews;
• assisting in the production of appropriate MI;
• acting as a TeamMate+ Champion; and
• supporting the development of the Level 8 Compliance Monitoring Role

Travelling to our offices in other locations may be required.

• 4+-years relevant experience in a Compliance Monitoring or audit role with a financial institution. Hedge Fund Administration Services experience and asset management would be preferred;
• Degree qualified; Accountancy, audit, financial or regulatory qualification would be an advantage;
• Affinity with Governance, Risk and Compliance related issues;
• Strong technical monitoring skills;
• Effective decision making skills and the capacity to draw on reasonable conclusions;
• Strong communicator (written and verbal);
• Ability to work independently with minimal supervision, and as part of a team;
• Ideally will have supervisory experience in a similar capacity;
• Proficiency with Word, Excel, PowerPoint.

• Reporting directly to the Head of Compliance Monitoring - keep him informed of emerging issues, audit progress and resourcing information;
• Proactively support the development of the Level 8 Compliance Monitoring Role;
• Act as the lead TeamMate+ Champion and act as the primary support for GC colleagues in respect to TeamMate+ matters;
• Delivery of assigned monitoring reviews in conjunction from the commissioner GC Team Member.
• Assisting with planning scope
• preparatory review planning;
• conducting monitoring fieldwork;
• engagement with business areas under review;
• clear reporting in a competent, timely and professional manner.
• Liaising with business partners, senior managers and other compliance team members on findings;
• Facilitating issue tracking and validation of closure of issues;
• Ensuring delivery of compliance monitoring is consistent and implemented in accordance with policies and methodology within Group Compliance;
• Maintaining the quality of Compliance monitoring through review of work papers and reports of other Group Compliance team members;
• Assisting the Head of Compliance Monitoring in the design and provision annual training on the Compliance monitoring methodology;
• Improving the Group Compliance monitoring process through implementation of enhanced compliance monitoring tools and techniques; and
• Maintaining expertise and pursuing training to keep abreast of new and proposed developments in compliance monitoring.