Senior Compliance Monitoring Analyst

The Vacancy Winterflood''s compliance department provides regulatory support to the whole firm covering a diverse range of businesses including market making, corporate finance, research and a retail platform. This role is an initial 6-9 month contract with possible extension.Key Responsibilities and Duties Reporting to the Operational Compliance and Monitoring Manager, the role will include Assist with the management and delivery of all aspects of compliance monitoring Determine the scope and testing approach for reviews Conduct thorough Compliance Monitoring reviews covering a range of activities across all business divisions. Identifying and analysing potential risks to the firm. Provide written reports for management and key business stakeholders to include details of findings and recommended actions Track progress of compliance monitoring against the annual plan and report to management Prepare management information for senior management and the Risk and Compliance Committee Ad-hoc duties as required Skills and Experience Knowledge and experience of a similar wholesale, retail or professional services firm Relevant regulatory knowledge including some of the following: COBS, CASS, SYSC, MAR, LSE and other rules, MiFID II, HMRC ISA Rules, JMLSG Ability to learn quickly and solve problems Strong communication skills Experience of producing written reports Personal Attributes Confident and independent self-starter willing to take ownership of issues and drive to ..... full job details .....