Investment Bank - Compliance Senior Analyst - Thematic Monitoring

Role and Responsibilities:

• Conduct thematic monitoring activities to assess and analyse potential compliance risks across various business lines and operations.
• Collaborate with cross-functional teams, including legal, risk, and business units, to design and implement effective thematic monitoring programs.
• Develop and maintain a comprehensive understanding of relevant laws, regulations, and industry guidelines to ensure compliance.
• Identify emerging trends, regulatory changes, and industry developments to proactively assess their impact on the bank's compliance program.
• Analyse and interpret complex regulatory requirements, internal policies, and procedures, and provide guidance to stakeholders.
• Prepare and present reports on thematic monitoring findings, highlighting potential compliance gaps and recommending appropriate remedial actions.
• Collaborate with internal and external auditors to support regulatory inspections and audits.

Qualifications and Requirements:

• Proven experience in compliance, risk management, or audit functions within the financial services industry, preferably in an investment banking environment.
• In-depth knowledge of relevant regulations FCA, EU, etc
• Strong analytical skills with the ability to identify and assess potential compliance risks, and propose effective solutions.
• Excellent communication skills, both written and verbal, with the ability to articulate complex concepts clearly and concisely.
• Strong attention to detail and the ability to handle multiple tasks simultaneously in a fast-paced environment.
• Demonstrated ability to collaborate effectively with cross-functional teams and build strong working relationships.

For details please get in touch chris.roots@investigo.co.uk