A leading financial services provider is seeking a Compliance Assurance Analyst to join their monitoring team.
You will undertake Assurance activity and provide regulatory guidance and support to the Group. Specifically - Deliver high quality risk based assurance reviews which identify and address root causes of issues arising and mitigates emerging Conduct Risk - Manage review assignments against planned timescales - Prepare audit reports to the highest standards of clarity and substance ensuring that they meet the needs of all recipients. - Collaborate with the business to make recommendations for improvement and provide support in overseeing and closing recommendations - Identify, analyst and communicate regulatory change - Sign off marketing materials and financial promotions - Maintain understanding and compliance with FCA/PRA regulations, Conduct Risk and TCF, Information Security and Data Protection and Financial Crime.
Successful applicants will demonstrate solid experience in Compliance Assurance/2nd line monitoring of processes gained within an insurance, life and pensions or investments environment. First line of defence file review experience is not enough experience to be considered for this role.
This is an fantastic opportunity to join a leading and well reputable financial services business with an excellent reputation as an employer and a solid benefits package and lovely working environment.
Please quote 40970 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.