Compliance Monitoring Analyst

Within this role you will be involved in supporting the Compliance function's monitoring and risk assessment pillar in ensuring that the firm meets its regulatory objectives, primarily in respect of 2nd line monitoring obligations.

• Please note that this role is onsite and would require 5 days per week in our London office near Liverpool Street. , Assisting with the execution of the Compliance Risk Assessment (CRA) and Compliance Monitoring Programme (CMP)


• Identifying deficiencies and proposing enhancements to internal compliance framework through monitoring activities


• Provision of comprehensive, quality Management Information to Compliance colleagues and senior stakeholders within the business


• Conduct trends analysis and identify themes and emerging patterns in monitoring results


• Develop relationships with the business and support departments to enhance the quality and content of available Management Information


• Liaison with relevant stakeholders to address allocated action points


• Assist in the implementation of thematic reviews


• Assist in ensuring the CMP is implemented on a risk- based approach


• Work collaboratively with Compliance Managers in our Global offices, sharing best practice and promoting open dialogue and communication


• Collaborate with Compliance colleagues to ensure the CRA and CMP and its findings are factored into wider compliance work


• Liaise with other 2nd line stakeholders e.g., Risk, CASS to further enhance CMC's Compliance Risk framework.


• Ensure to keep up to date with regulatory changes and business changes and update the CRA and CMP in line with new/ amended requirements


• Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training


• Undertake such other duties, training and/or hours of work as may be reasonably required, and which are consistent with the general level of responsibility of this role
  
  A fantastic opportunity has opened within the Compliance Monitoring team here at CMC Markets. We are looking for someone with Financial Services Compliance experience that is looking to move into Monitoring role where you can train and develop., Previous experience of a (non- AML) regulatory compliance/monitoring


• Knowledge and understanding of FCA rules and other legislation (i.e. COBS, CASS, PROD and SYSC)


• Analytical and enquiring nature, ability to solve problems


• Excellent organisational skills, ability to manage competing priorities and tight deadlines


• Generalist Compliance skills including experience of performing thematic performance reviews, managing conflicts of interests, monitoring reviews etc


• Strong communications skills - verbal and written; with ability to communicate effectively across the business.