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Conduct Risk Analyst

Employer
Professional Recruitment
Location
Bristol, UK
Salary
Competitive
Closing date
Apr 8, 2019

View more

Job Role
Risk Manager
Sector
Finance
Contract Type
Permanent
Hours
Full Time
An exciting opportunity has arisen to join a highly successful investment business in Bristol as a Conduct Monitoring and Oversight Analyst within the conduct risk division. The successful candidate will be responsible for supporting the Conduct Monitoring and Oversight Assistant Manager, to ensure that the control framework is effective, and that appropriate processes and procedures that are compliant with the requisite FCA rules are executed. The role involves monitoring of processes, in order to identify trends within the control framework, and if appropriate, to help implement improvements. You will be responsible for the ongoing monitoring of processes, procedure testing, breach review, audit action review and assisting to co-ordinate internal and external audits. Key Accountabilities will include;
• Completion of Conduct (COBS, DPA, AML) breaches to ensure accurate and relevant information has been captured.
• Conduct Monitoring across the business to identify risk and improvements required.
• Assist in collating any documentation required by external auditors Ideally candidates will have some compliance, risk or audit experience and possess a relevant degree or professional qualification such as the IOC. A solid background in compliance and knowledge of operational processes within financial services are preferred along with strong communication abilities. You must have some understanding of UK Regulations and be able to develop good working relationship with all internal stakeholders and have the confidence to present to senior management.

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