Senior Compliance Business Oversight Analyst

Lead the Compliance reporting process, including compiling and formatting information for local and global governance committees and boards.

Manage certain FCA communications, including submissions and updating the FCA Connect list.

Prepare and submit, in coordination with multiple stakeholders, various regulatory reporting and notifications to EU and North American regulators.

Manage and administer Compliance induction training across the London office, reviewing and updating the training deck annually.

Participate in developing training material for topics on the annual training plan.

Act as back-up for core monitoring activities, including e-communication and voice.

Manage Personal Account Dealing inquiries and liaise with the Control Room.

Participate in policy and procedure reviews and updates.

Maintain relevant logs and registers, including Breach and Conflict of Interest registers.

Track audit and compliance findings for tracking and reporting purposes.

Assist as needed on global compliance projects.

Interact with the front office and support stakeholders, serving as the point person for multiple core areas.

Build relationships with key stakeholders locally and globally.

Assist the team with other tasks as needed.

Minimum of 3-5 years of demonstrated relevant experience in the industry.

Regulatory experience (a plus).

Audit or Controls experience (a plus).