Junior Compliance Analyst (5 month contract)
United Kingdom
Overview of Role
This position will play a vital role in delivering and improving the Compliance monitoring control framework for an expanding and progressive business. Assisting the Compliance Monitoring Manager on a day-to-day basis, the candidate will perform a wide variety of activities, including testing, reporting, co-ordination, and other assurance functions.
Key Responsibilities:
Monitoring
- Carry out desk based and thematic reviews of the Global Advisory Business, as part of Rothschild & Co’s second line of defence and in line with the firm’s risk-based compliance monitoring programme
- Develop effective processes improve monitoring and utilise tools to improve process and drive efficiencies
- Enhance and build upon the existing ongoing monitoring programme and contribute to the ongoing development and refinement of the monitoring program by identifying opportunities to improve methodologies, testing approaches, reporting practices, and risk coverage
- Conduct high quality and impactful independent Compliance reviews, including e-surveillance, to test and identify Compliance and Regulatory risks and ascertain the effectiveness of controls and provide assurance to senior management that the Business operating in accordance with applicable external regulations and within Group’s risk appetite
- Coordination with stakeholders to execute monitoring activities and strengthen the monitoring framework
- Presentation of monitoring activity findings and remediation requirements to Senior Management and key business stakeholders as required and ensure that remediation requirements, ownership, timelines, and expectations are clearly articulated, challenged where necessary, and appropriately escalated to support timely and effective resolution.
- Draft clear, concise, and evidence-based monitoring reports, with findings, remediation actions, and executive summaries for review by senior management.
- Tracking and validation of remedial action points, maintain oversight of agreed remediation plans and action items arising from monitoring activities. Track progress against agreed milestones, challenge delays, or insufficient remediation measures.
- Contribute to management information, trend analysis, and thematic insights to support senior management understanding of emerging risks and control gaps.
- Contribute to a culture of continuous improvement, professional challenge, and constructive engagement with the business.
Skills and Qualifications Required
- Ideally experience in a Monitoring & Testing role preferably gained within Compliance monitoring function
- Understanding of the Corporate Finance & Capital Markets, knowledge of relevant regulatory environment and applicability/mapping to the business.
- Integrity, high sense of discretion and confidentiality
- Methodical, structured, and rigorous approach to delivery of reviews
- Strong problem solving and analytical skills
- Excellent organisation skills
- Ability to prioritise and work on own initiative
- Excellent oral and written communication skills
- Ability to foster strong working relationships within the team and with the businesses
- Previous experience within a consulting environment would be highly valued, particularly where it has involved advising on business transformation, process optimisation, operating model design, or risk and control frameworks
- A strong interest in data, process improvement, and Artificial Intelligence, is expected. Curiosity about leveraging data-driven insights to enhance efficiency, strengthen controls is key. Experience in using analytics solutions to streamline processes and deliver tangible business benefits would be desirable