Compliance Monitoring Analyst

  • Compliance
  • London, United Kingdom

Compliance Monitoring Analyst

Job description

The Compliance Monitoring Analyst will support the LMAX Group by maintaining and delivering the compliance monitoring programme. This will involve quality conduct assurance reviews which independently challenge effective management of risks and controls.

The Compliance Monitoring Analyst will provide challenge as to whether Group policies, procedures and controls meet legislative requirements and guidance and deliver detailed, accurate information in compiling appropriate monitoring reports.

Main Duties & Responsibilities:

  • Develop the Compliance Monitoring Plan according to the regulatory risk profile, including business unit, thematic and project reviews
  • Leadership of the Compliance Monitoring Programme and deliver efficient, effective and valued compliance monitoring
  • Review the monitoring output and ensure that any issues are flagged to management and that remedial action is taken promptly
  • Making sure that all processes and procedures adopted reflect the research and interpretation of regulatory bodies rules and guidance
  • Proactively review and evaluate business MI, and where necessary investigate trends to establish if focused monitoring activity is required
  • Delivering successful outcome of reviews by external parties such as regulators, external auditors and internal audit
  • Generate statistics for Governance meetings


Essential Skills / Experience:

  • Experience of working for an FCA regulated company
  • 2 years’ experience of working in a monitoring role
  • University degree or equivalent
  • Excellent proficiency in MS Office application.
  • Confident and proactive in communicating with people at all levels
  • Great team player with the ability to foster close working relationships with colleagues
  • Results orientated with a strong bias for action and outcome
  • Excellent communication skills both verbal and written
  • Comfortable with working in a young, technology driven environment with a great deal of responsibility and autonomy
  • Desire to contribute to success in areas beyond the core compliance areas

Desirable Skills / Experience:

  • Language skills desirable – Chinese or Russian
  • Team leading experience is desirable
  • Contract Drafting experience required
  • Compliance experience with knowledge of the FCA handbook