Compliance Monitoring Analyst

• Jan 2022 - Present

• Undertake Gap analysis and formulate recommendations to the business where required.• Report identified compliance breaches and highlight system issues/ gaps in company policy.• Research terms of reference such as: regulatory requirements relevant to the industry.• Fact find to obtain internal and external reference materials to evidence compliance.• Complete all assigned monitoring tasks within the annual monitoring plan within strict deadlines.• Provide the business with assurance and oversight of system changes and their effectiveness.• Document all evidence and findings obtained through monitoring.• Highlight potential trends, risks, and share findings.• Complete snap shots and document customer journeys and highlight issues and findings.• Review company policies and procedures to ensure regulations are adhered too.• Present findings to the higher stakeholders both internally and externally.• Regularly review AML sanctions.• Review and investigate potential fraud payments made to customers’ accounts and provide details to the relevant nominated person within the business detailing my investigation.• Provide feedback to all areas of the business when a gap in the framework or company policy has been identified.• Regularly review all first line functions, including CPC and complaints to ensure the business remain compliant and customers are being treated fairly.• Hold regular call calibrations with other areas of the business including external agents to ensure alignment in the call framework and fair customer outcome.

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