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Compliance Analyst - Control Room - Financial Services

Posted on Oct 4, 2021 by Brookwood

London, United Kingdom
Immediate Start
£350 - £420 Daily

Compliance Analyst - Control Room - Financial Services

We are supporting a global financial organisation.

This is around 12 months initially, with a view for further extension .

The client is based in central London, offering hybrid remote working.

The day rate for this role is £350 - £420 Inside IR35 per day.

As a Compliance Officer in the Control Room you will be part of a global team tasked with overseeing controls designed to mitigate conflicts of interest and protect confidential information. You will act as the gatekeeper and chaperone with respect to permitted conversations between the groups of employees. You will identify and escalate potential compliance issues arising out of monitored interactions. You will interact with Credit Issuers and Regulators in preparations of Insider Lists when required. You will be involved in analysing data generated by Control Room's monitoring activities and derive insights and risk indicators with the help of Business Intelligence tools.

What's in it for you: This role provides an opportunity to make a significant and visible contribution to the team's and compliance department's effort. Exposure to compliance risk and controls management and regulatory technology. A great opportunity to acquire and apply data analytics and Business Intelligence skills.

Responsibilities: As a Compliance Officer in the Compliance Control Room you will be expected to

Advise Ratings employees on specific application of Conflict of Interest policy and it attendant procedures as it related to monitored interactions.
Monitor communications between groups of employees, act as a gatekeeper and a chaperone where necessary.
Handle requests to log internal and external insiders timely recording of insiders. Create and validate lists of insiders in response to requests by regulators worldwide.
Help draft compliance management information reports for various business and senior management stakeholders.

We are looking for a self-starter with excellent work ethic and superb attention to detail who can work independently with minimal supervision. Someone who has a strong interest in compliance risk management with good understanding of financial markets and the US and EU financial regulatory framework. A global team player with excellent communication skills and ability to influence and challenge across all level within the organization.
Good working knowledge of credit markets and the role of rating agencies in the capital formation process.
Good understanding of the nature of conflicts of interest in the context of investment research or credit rating analysis.
Good understanding of the nature of protection of information, in particular managing confidential and material non-public information
Good understanding of the US and the EU financial regulation framework.
Some understanding of operational or compliance risk management process.
Excellent excel and power-point skills.

Basic Qualifications:
A bachelor's degree supplemented by with one or more years of professional experience in Research or Capital Markets Compliance, Internal Audit, or Operational Risk Management functions.
Good MS Excel, SQL, MS PowerPoint skills.

Preferred Qualifications:
Mid-level experience in the field of Control Room Compliance, Compliance Monitoring or Surveillance from an Investment Bank, Investment Company or a Credit Rating Agency.
Expert MS Excel, SQL and Business Intelligence tools, eg, Power BI, Tableau, Qlik

Reference: 1345829880

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