Investigo are supporting a specialist FX firm with the recruitment of a Compliance Monitoring Analyst.
Your role will be to support the firm by maintaining and delivering their Compliance Monitoring programme, as well as completing compliance monitoring and quality conduct assurance reviews that challenge the effective management of internal risks and controls.
- Maintain the Compliance Monitoring Plan in line with the regulatory risk profile.
- Conduct business unit, thematic and project reviews.
- Delivery of effective compliance monitoring.
- Review the monitoring that has been conducted, and flag any issues raised to management and ensure remedial action has been taken.
- Support business units to make sure that any updated processes, procedures and policies are reflective of current regulatory rules and guidance.
- Review and evaluate business MI and investigate any trends to see if monitoring needs to be conducted.
- Experience of working for an FCA regulated company
- 2 years' experience of working in a monitoring role
- University degree or equivalent
This is a full time permanent position paying £40,000 per annum.
This role will be working from the office location, which is based in Shepherds Bush. There will be some flexible working options, but the majority of the role will be office based.