A ROLE YOU WILL LOVE

This role will allow you to build good working relationship with all internal stakeholders and have the confidence to present a varied range of analytical data to senior management.

Key Responsibilities

• Completion and analysis of any regulatory breaches to ensure accurate and relevant information has been captured, including root cause, preventative steps and consideration given to any wider impacts to CIS.
• Conduct CASS and Conduct Monitoring across the business to identify risk and improvements to controls that are required.
• Co-ordinate with the business to ensure the closure of actions arising from first line monitoring reviews.
• Support the closure of Internal Audit and Compliance Monitoring Actions.
• Collate any documentation required by external auditors from internal stakeholders.
• Collate information for completion of any relevant Management Information .
• Completion of ad-hoc monthly Financial Sanctions, Market Abuse and Personal Account Dealing checks.

WHAT WILL YOU BRING TO THE ROLE?

We’re looking for an individual with a background in regulatory controls, governance or compliance to join our professional team. You will have an interest in the mechanisms underpinning the work of CPU Issuer Services and thrive in producing high quality work to both internal and external stakeholders.

Ke y attributes

• Tangible experience in an operational, governance or compliance role
• Knowledge of key operational processes within Financial Services.
• Understanding of UK Regulations and key aspects of the Financial Conduct Authority (FCA) Handbook.
• Innovative and willing to take initiative.
• Self-motivated and driven to succeed.
• Ability to prioritise and work well under deadline pressure.
• Strong verbal and communication skills.
• Strong analytical skills and high degree of numeracy.