Compliance Monitoring Analyst

at  Computershare

LOCATION: BRISTOL, UK

This is a hybrid position primarily based in Bristol. We’re committed to your flexibility and wellbeing and our hybrid strategy currently requires three days a week in the office, giving you the option to work remotely for some of your working week. Find out more about our culture of flexible working .

A ROLE YOU WILL LOVE

In your role as the Compliance Monitoring Analyst, your key responsibilities will include monitoring and reporting in relation to CIS Operational areas to assess compliance with regulatory requirements and internal policies and procedures. Your role will sit in the second line of defence within Computershare’s three lines of defence operating model.
You’ll also scope, plan and deliver Compliance Monitoring reviews as part of the overall Compliance Monitoring programme to provide assurance to Senior Management and drive improvements in respect of regulatory standards throughout CIS. The key areas of regulation applicable to CIS are the FCA Principles for Business and associated rules and guidance

OTHER KEY RESPONSIBILITIES INCLUDE:

• Completing testing activity through investigation, review, and analysis across CIS’s operational activities to assess compliance with prevailing regulatory requirements, internal policies, and best practice.
• Identifying and assessing risks arising in the business, referring to prevailing regulatory requirements.
• Liaising with all levels of staff across the business during testing activity.
• Producing objective, timely and well-presented monitoring reports and gain approval for distribution to senior management and CIS Directors.
• Gaining commitment from the business to address any issues identified.
• Assessing the completeness and accuracy of actions taken to address monitoring findings
• Liaising with colleagues across Control & Governance, Risk, Compliance and Audit functions

WHAT WILL YOU BRING TO THE ROLE?

• You’re a self-starter who takes a proactive and resilient approach to your work
• A basic understanding of the FCA Handbook
• Proven organizational and time management capabilities
• Strong analytical skills with high levels of attention to detail
• Experience and success in delivering under pressure
• Effective interpersonal, presentation and literacy skills which allow you to successfully communicate across all levels of the businessStrong influencing and negotiation skills