Monitoring Analyst

Responsibilities:

•                Carry out Monitoring Reviews as planned by the Senior Manager

•                Review findings and ensure split between systems issues and actual regulatory breaches (then in line with other colleagues consider if Breach so serious needs to be immediately reported to Client and/or Regulatory Authorities)

•                Investigate cause of all breaches & issues, suggest remedial actions and SOP /Control enhancement

•                Ensure all above discussed with management and report issued

•                Ensure all follow up actions agreed and appropriately implemented

•                Deputize for Senior Manager and help manage, mentor and train UK team & Offshore Team  

•                Assist Client visits

Qualifications:

•                College Graduate of any field

•                Has 2-4 years relevant experience

•                Previous Experience of Compliance Monitoring (or External or Internal Audit) of Retail Investments (and willing & able to quickly pick up Pensions & Regulatory aspects if not covered before). NB Need to consider if reviewing Point of Sales documentation by Level 4 Qualified Sales, that 2LoD Monitoring staff should have L4 qualification too (1st LoD i.e. Ops staff checking sale, certainly should)

Skills & Knowledge Required:

•                Expert regulatory knowledge and then how regulation applies across relevant business activities and oversight of such

•                Ability to work without supervision and under pressure

•                Efficient and well organized

•                Strong communication skills both written and verbal

•                Credible and assertive manner

•                Discretion, tact and resilience

•                Professional manner with the ability to influence and persuade

•                They must be a skilled communicator and able to deal with a wide variety of internal stakeholders and financial regulator