Compliance Monitoring Analyst
To support the activities of the Business Standards Team and the Head of Front Office Policy and Framework through undertaking risk analysis and other desk based monitoring methods to monitor the activities across Front Office activities covering both Investment Management and Financial Planning.
One of the UK's leading independent providers of discretionary wealth management.
- Conduct monitoring activities in relation to front office using a combination of regular monitoring, exception based monitoring, thematic review work
- Analysis of key business metrics to inform risk identification and escalation
- Production and analysis of Management Information and the reporting to key stakeholders and governance forums
- Review and testing effectiveness of existing controls
- Review and recommendation of policy and procedures enhancements
- Liaise and assist as required with other Functions, including, Risk and Compliance, Business
- Support and Internal Audit in all matters pertaining to monitoring and Investment Governance work
The ideal candidates will come from a Compliance or Risk background and it is essential that you have previous experience of working within wealth management to be considered for this role.
This job was originally posted as www.totaljobs.com/job/80249511