Compliance Monitoring Analyst

at  ValuTrac Investment Management Ltd

COMPANY INFORMATION

Established in 1985, Valu-Trac is an independent Authorised Fund Manager (AFM), Investment Management and Administration Services provider within the regulated financial services and investment industry. At Valu-Trac we operate a 3 lines of defence model to assist the business to operate in line with all regulatory and legal requirements. We are an ever-growing company with over 100 employees, and £16bn of assets under management.
We are hiring a Compliance Monitoring Analyst to join our second line Risk & Compliance team. This role offers a dynamic environment for a motivated individual looking to grow within the field of Compliance, helping ensure the organisations long term stability and compliance.
The Compliance Monitoring Analyst will report to the Compliance Monitoring Manager and supports the companys efforts in ensuring compliance to regulations across the business.
Working within the Compliance team, the analyst will help ensure the organisation complies with relevant financial regulations and internal policies.
Due to nature of the firm, we expect the successful candidate to have a keen eye for detail, excellent research and analytical skills, and the ability to communicate well with individuals around the business.

• Facilitate the transactional compliance monitoring, gathering and testing evidence and comparing trends to form conclusions on the effectiveness of policies and procedures,
• Reporting on findings to the business in a supportive and collaborative way,
• Proactively monitor open actions to ensure that they are resolved to a satisfactory standard and restore compliance,
• Assist the Compliance Monitoring Manager with more in-depth thematic style reviews on business areas and operations,
• Engage with the business on arising compliance matters to provide support,
• Reviewing policies to ensure compliance with the regulations as well as testing policies are being adhered to,
• Support the reporting of key information and data to relevant committee and board meetings,
• Assist in the reviewing the annual compliance monitoring plan, including topics covered and the rating of tasks.