Compliance Monitoring and Audit Analyst
Are you looking for a compliance role with a highly successful and rapidly expanding investment firm in the beautiful city of Bristol?
My client, a dynamic and innovative investment business is looking for self-motivated and upbeat individual who possesses a strong background from within compliance monitoring and internal audit to assess, test, review and analyse the firms ongoing performance in line with its compliance and regulatory objectives.
You will be responsible for identifying risks to the business and articulating these in an appropriate manner, working with teams to help mitigate these risks.
Role responsibilities will be as follows;
- Helping to ensure that the business units and employees are in compliance with the rules and regulations of regulatory bodies, that company policies and procedures are being followed, and that behaviour in the business meets the company’s Standards of Conduct
- Helping to develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct
- Helping to managing the day-to-day operation of the agreed Compliance Program
- Helping to develop and periodically review and update Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees
- Monitoring and as necessary, helping to coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
- Identifying potential areas of compliance vulnerability and risk and helping to develop, implement, manage and coordinate corrective action plans for the resolution of problematic issues, as well as providing general guidance on how to avoid or deal with similar situations in the future
The successful candidate will posses a vast amount of financial services knowledge and have worked within compliance monitoring and second line internal audit. You will know how to write an audit plan and be familiar with working against one. Superior communication skills are required along with strong attention to details, resilience and the ability to manipulate systems and assess risk.
A relevant industry qualification would be ideal but not essential.