Compliance Analyst - Trading

£55000 - £65000 per annum
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KANE PELGROM

Compliance Analyst - Trading

The Compliance Analyst, will have responsibility for trade floor supervision and business risk management in Trading Products London. In this role, the Compliance Analyst will work closely with the Lines of Business (LOBs) to assess, analyse, update business risk matters and ensure that appropriate controls are in place to mitigate regulatory risk and increase the potential for revenue. The incumbent will act as a liaison between several groups and the LOB, Compliance, Legal, AMLRO Office, Enterprise Risk, and auditors to ensure training and other business needs are met with respect to regulatory risk.


ACCOUNTABILITIES

Trade Floor Supervision

  • Daily line of business reviews of trade reports to monitor compliance with regulatory requirements and internal policies, providing feedback and correction where required
  • Escalation to LOB Supervisors of issues and exceptions that require attention
  • Reviews of emails, telephone calls and client communications for evidence of regulatory infractions
  • Review with LOB heads and staff (when necessary) relevant regulatory notices, disciplinary activities, etc. including synopsis of the impact to the businesses
  • Keep Management abreast of pending regulatory changes and Requests for Comment
  • Handle "on-the-fly" requests from LOB Heads and trading staff for situation-specific advice. This may involve requesting interpretations from the Regulators and/or arranging information sessions with Compliance

Risk Assessment

  • Works with Compliance to analyse the impact of regulatory changes on the business and determine the appropriate course(s) of action.
  • Works with the centralised compliance tool GRCE for regulatory risk assessments, quarterly entering of monitoring and testing results, and issue management
  • Assists other Trade Floor Supervision staff with development of policies and procedures to meet regulatory obligations

Administration of Risk Controls

  • Supports implementation of regulatory risk control policies and procedures as needed for the group.
  • Supports group compliance to bank risk policies and relevant regulations by coordinating ongoing local communication of requirements, policies, audit findings, action plans, and follow-up actions through to completion.
    • Communicates policies and procedures to local management and LOBs in tandem with Compliance partners.
    • Establishes procedures and monitors adherence to current physical and logical (systems) access policies.
  • Coordinates any required regulatory attestations for Lines of Business.

Relationship Management

  • Intervenes on behalf of Compliance with Lines of Business to accelerate completion of licensing, training and continuing education requirements.
  • Acts as a liaison with auditors. Facilitates retrieval of required information/documentation and responds knowledgeably to related questions as necessary.
  • Partners with local management from Lines of Business for issue resolution and compliance to action plans.
  • Interacts with staff of all levels in the Lines of Business as necessary for issue resolution.
  • Partners with various bank areas as necessary to conduct proactive risk mitigation measures, including but not limited to AMLRO Office, Compliance, Legal, Technology, Security, Risk Management, and Human Resources.
  • Ensures delivery of exemplary internal client service by troubleshooting and providing issue resolution in a professional, ethical, and conscientious manner.

Managerial Leadership

  • Continue to stay abreast of industry best practices and trends in the local environment, communicating them as appropriate to other members of the group.

Advising

  • This role is authorised to interact with other jobs for the purpose of providing unsolicited advice which these other jobs must consider.

Auditing

  • This role is authorized to be informed of the activities of other jobs. If it is determined that the activities are not aligned with agreed plans or policy, the person in this role may have the authority to stop the activities as authorised by senior management.

Coordinating

  • This role can call a meeting of the senior leadership of areas of the bank that interface with the unit in order to ensure that established policies and guidelines are followed, and that the unit’s responsibilities and objectives are met.

Monitoring

  • This role is authorised to be informed of the activities of other jobs. If this job is not satisfied with the activities of these other jobs, this job has the authority to persuade/ influence these jobs to change these activities.

Prescribing

  • This role can instruct another job to follow and comply with a specified course of action even though there is no managerial reporting relationship that exists between these two jobs.

Service Getting

  • This role has the authority to receive other bank areas as agreed upon and in relation to accomplishing business unit goals and objectives.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

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