Compliance Monitoring Analyst
This is role could be for you:
- Assist with the management and delivery of all aspects of compliance monitoring
- Determine the scope and testing approach for reviews
- Conduct thorough reviews to ensure compliance with regulations and internal standards
- Provide written reports for management to include details of findings and recommended actions
- Ownership of the online training system and assigning all training to employees
- Review and update of training courses as necessary
- Supervising a team member
Requirements
- Compliance monitoring / assurance / testing experience preferably from investment management, market maker, wholesale, brokers, FX, or securities firms
- Knowledge of control room / PA dealing activities preferred
- Sound knowledge of COBS and MiFID 2 also preferred
- Good report writing experience
- Management or supervisory experience
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