As a Compliance Monitoring Analyst your primary function is to ensure that the Compliance department is effective in its efforts to combat financial crime and ensure the business operates within its stated risk appetite.
Our client is a leading institutional FX brokerage.
- Your role is to deliver excellent support to both the Board of Directors and multiple critical departments to ensure they are appraised of high quality management information (MI), enabling risk based decisions to be made to influence the direction of the business.
- Develop and strengthen the Compliance Monitoring Programme to identify and conduct, on a risk based approach, strategically important areas of testing;
- Design appropriate and scalable assessment and testing criteria;
- Work closely with the Compliance Director to coordinate controls testing;
- Provide detailed input to the monthly Risk Committee report detailing the status of monitoring, issues identified and remedial action recommended;
- Conduct review of the compliance onboarding and monitoring teams;
- Design and produce clear and comprehensive MI which can be used to drive business decisions;
- Implementation of thematic reviews to target specific business areas.
- Experience of applying second line audit frameworks across a compliance department.
- Good level of knowledge of UK regulatory requirements covering topics such as TCF, FX trade execution, Best Execution and Financial Promotions.
- Excellent proficiency with Microsoft Excel.