Overview

The purpose of the Compliance Analyst role is to focus upon promoting an effective compliance culture within the branch, to assist the business in meeting the requirements set out in UK and German law/regulations and within the Compliance global policies and standards, to provide advice to the business on compliance matters as required and to ensure the due delivery of day-to-day Compliance processes. Based within the Control Room team, the tasks will involve identifying, managing and escalating transaction and staff related conflicts; maintaining the Watch List, Restricted List and Insider List; monitoring and managing information-sharing between different confidentiality areas; monitoring short-selling positions; managing UK disclosures and reporting to regulators, Takeover Panel and others (long/ short positions, etc); managing the personal registration processes with regulators and exchanges; participating in Compliance projects, investigations and other tasks as required; contributing as required to content and delivery of Compliance training; following up alerts from Compliance monitoring; collating and interpreting management information and ad-hoc reports; analysing as required regulatory expectations and developments and changes to business strategy, and adjust procedures, training, monitoring etc accordingly; maintaining and developing Compliance IT systems as needed; maintaining relations with regulators, market bodies, Group departments, etc as needed.

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